Dedicated CCO Support

  • On-site Visit
  • Quarterly Conference Calls
  • Monthly Calendar
  • Checklists and reminders
  • Phone Calls (Not Subject to Standard Business Hours)
  • Required IA Annual Review & Risk Assessment
  • Best Execution Review
  • Record Retention Requirements
  • Monitor Industry Developments, Rule Proposals 
  • Regulatory Alerts
  • Surveillance Counsel (Reverse Churning, Concentrated Positions)


Complaint Resolution (Response to Client and/or Regulator), Remediation Plan

  • Review Service Provider


TPIA and/or Affiliate Agreements

  • Due Diligence Process and Controls
  • Review Custodial Relationship(s) and Requirements
  • Cash Solicitors Agreement and Disclosures
  • New Hire Evaluation
  • On-boarding Support
  • Training
  • Exam Priorities I Hot topics


Regulatory Exam Support

  • Exam Preparation
  • Audit Risk Assessment
  • Regulatory Requests and Assist with Document Production
  • Draft Responses for Approval
  • Interactive Support During Regulatory Exam

Review, Revision and Creation of Disclosure Documents, Manuals and Procedures

  • ADV, ADV 2A, ADV 2B and applicable supplements (Wrap Fee Program)
  • Advisory Agreements- Asset Management, Financial Planning, 3(21) /3(38)
  • Compliance Manual and the System of Controls
  • Business Continuity Plan & Disaster Recover
  • Succession Planning
  • Cyber-Security Policy and Controls
  • Privacy Policy
  • Code of Ethics (Policy, Acknowledgment, Access Person Trading Controls)
  • Insider Trading procedures and controls
  • Political Contributions (Pay to Play)
  • Consent to Electronic Delivery
  • Marketing & Advertising Review

 

Manage lARD /CRD Account

  • Annual Amendments and Registration Renewal
  • Process
  • Non-annual ADV Amendments
  • U4 / U5 Filings
  • Additional State Registrations I Notice Filings
  • Materiality Review and Delivery Requirements
  • Outside Business Activity Reviews
  • AUM Calculations

ADVISORY SERVICES


In any business environment it is essential to have an accurate understanding of where your business is headed. This understanding is even more importance during times of financial crisis and economic uncertainty.

Taurus Compliance Consulting, LLC understands the challenges and the resource constraints of today's business owners as well as how compliance with applicable rules and regulations can become burdensome. Furthermore, in order to justify the trillions of bailout funds disbursed, the government is in the process of establishing new regulatory compliance requirements for ALL companies, big and small.

Taurus Compliance Consulting, LLC can serve as a cost effective strategic partner working side-by-side with your key decision makers whether you are a large public corporation or a small entrepreneurial company. The Taurus consulting team consists of management professionals to help you achieve operational efficiency in a secure and compliant manor.

Our services include but are not limited to the following:




































For more information on how Taurus can partner with you, call us at 1-888-963-9519.