START YOUR OWN RIA

Why Taurus Compliance?

At Taurus, we can offer you a team of highly-trained and dedicated professionals.

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Form ADV Part 2 – Taurus will assist Client in completing and filing Form ADV Part 2 in connection with Client’s registration as an investment adviser, including assistance with the drafting of applicable brochure supplements.

Form ADV Part 2B – Taurus will assist Client in completing Form ADV Part 2B (brochure supplements) in connection with Client’s investment advisor representative (“IAR”) registrations.

State Specifics – Taurus will assist Client with applicable state investment adviser registration forms and filing requirements.

Privacy Policy Draft – Taurus will assist Client in formulating and drafting appropriate privacy policies and procedures as required by applicable law.
Code of Ethics – Taurus will assist Client in formulating a code of ethics setting forth the standards of business conduct expected of Client’s supervised persons and addressing personal securities trading activities.
Policies and Procedures – Taurus will assist Client in formulating policies and procedures for compliance with the rules and regulations of the Investment Advisers Act of 1940 or under applicable state law, tailored to Client’s business and nature of operations, including with respect to specific conflicts and risks.

Advisory Agreement – Taurus will assist Client in the creation of advisory agreements for asset management and financial planning services.
Cash Solicitor Disclosure and Agreement – Taurus will complete the necessary disclosure and agreements as well as registration requirements required pursuant to SEC Rule 206(4)-3 of the Investment Advisers Act of 1940 (“Act”) that regulates the compensation of solicitors or referral fees.

Our services are designed to continue after the registration is complete to allow you to operate with the confidence that your compliance obligations are being address. Such services include:

ADV maintenance
Reminders and Checklists
Updates regarding regulatory changes
Available resource for questions
Additional state or SEC notice filings
Additional individual registrations (U4)
Etc.

Taurus is the right partner because the firm understands the importance of ownership and individual control. Taurus is managed and operated directly by the founder, who has practical industry experience as a regulator and a chief compliance officer. He also has a broad network of resources he can leverage and or engage as needed without the high costs of employees and unnecessary operating overhead. Taurus is a small entrepreneurial business focused on client satisfaction by offering quality services at a competitive price, just like the clients we serve.

Our approach is to leverage the resources available through your RIA and broker/dealer to facilitate a smooth registration experience. We understand the registration process from a regulatory perspective as well as the internal “behind-the-scenes” requirements. Taurus is your partner and we focus on our role and minimize the time requirements for our clients. For example, we do not ask clients to prepare a worksheet or draft documents for our review. Instead we learn about your firm based on an interview style approach where we discuss the firm’s practice objectives and goals. Once we gather the information needed, we will create your disclosure documents, forms and manuals. Nothing is filed without your review and approval. Compliance can be complicated but with the right partner it can be simplified to focus on the risks that matter, with technology solutions and experienced consultation.

Why Compliance Matters?

Financial organizations are required to adhere to strict compliance guidelines.

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START YOUR OWN RIA

In the current market environment, it is critical to have the flexibility and true independence of your own RIA in order to compete for top clients and recruits. If you do not have your own RIA, you are working to build an advisory practice for someone else or so it may seem to the public. You might even be considered an employee that is limited to a corporate agenda and restrictions. True independence requires but is not limited to:

Ownership
The ability to grow your own business not for someone else
Freedom from corporate pressure and sales objectives
Independence and control to manage and grow practice
Structural alignment with entrepreneurial spirit
Increased number of TAMP opportunities
The ability to establish and maintain cash solicitor referral relationships
The ability to define account minimums
The ability to define succession and or acquisition terms
The ability to use multiple custodial platforms (not limited to a single custodian)

Customized compliance controls – not lowest common denominator approach of a large firm
Customized client agreements
A customized Code of Ethics
The ability to define trade surveillance parameters
A clean ADV 2A disclosure brochure (not someone else’s baggage)

Our services include everything required to a registered and operational investment adviser, which includes:

Entitlement Agreement – Taurus will assist Client in completing a FINRA Entitlement Agreement to establish an Investment Adviser Registration Depository (IARD) User Account.
Form ADV Part 1 – Taurus will assist Client in completing and filing Form ADV Part 1 in connection with Client’s registration as an investment adviser.

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Services provided by Taurus Compliance:

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

Dedicated CCO Support

On-site Visits
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, New Rule Proposals and Compliance Dates
Regulatory Alerts
Surveillance Counsel
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