Nancy is a founding Member at True West. She brings over 20 years of experience in the financial industry with a concentrated focus in regulatory compliance consulting for registered investment advisory firms. She has a passion for working with clients in developing their compliance programs and assists firms with building a true culture of compliance. Nancy strives to keep a simple and straightforward approach to running an efficient compliance program.
Services
RIA Compliance
We LOVE compliance. True West believes in a compliance program based on education, engagement and follow through. Oh, and we have fun while doing it.
Navigate Compliance with Confidence
At True West, we specialize in providing comprehensive compliance services tailored specifically for Registered Investment Advisers (RIAs). Understanding the complexities of regulatory requirements, we offer solutions that help you focus on what you do best—managing client investments while staying compliant with evolving regulations.
Our Compliance Services Include:
Regulatory Filings and Documentation
Stay ahead of the compliance curve with our expert handling of all necessary filings, from Form ADV updates to annual amendments and more.
Registration & Compliance Program Development
We develop and implement robust compliance programs designed to meet both SEC requirements and your firm's unique needs. This includes initial registration filing and approval with the SEC and creating customized policies and procedures that align with your business model.
Risk Assessment and Management
Identify and mitigate risks before they become issues with our comprehensive risk assessment services. We help pinpoint vulnerabilities and provide strategic solutions to strengthen your compliance posture.
Training, Education & Ongoing Support
Empower your team with knowledge on compliance through our training programs, while offering ongoing support and consultation to adapt to continuous changes and address any compliance concerns.
Customized Solutions
for Every RIA
Each RIA has unique needs, which is why our services are highly customizable. Whether you're a startup needing foundational compliance setup or an established firm looking to enhance your existing compliance framework, we tailor our services to meet your specific requirements.
Compliance Service Levels
Base Support
Essential compliance support, including ongoing IAR filings, maintenance of compliance documents, and access to tools, templates, and training to ensure your firm meets regulatory requirements.
Manage ongoing IAR filings
Handle annual amendment updates
Facilitate all IARD updates for the firm's ADV filings
Maintain base compliance documents
Manage Policies & Procedures Manual/Code of Ethics and Privacy Policy Template
Provide tools and templates for compliance
Discounted IAR CE courses through a third party
Distribute quarterly education pieces, monthly newsletter, and a task list
Training for 13F filing process
Advisory Support
Enhanced compliance consulting with a focus on regular communication, tailored agendas, SEC exam support, and unlimited access to True West consultants for in-depth regulatory guidance.
Includes everything from Base Support PLUS:
Includes everything from Base Support PLUS:
File ADV Annual Amendment
Assist with firm disclosure document updates
Assist with risk matrix analysis
Provide marketing review & commentary
Assist with 206(4)-7 annual review
Provide annual compliance meeting (December CIC meeting)
Support with SEC/State exams
Track state CE requirements
Quarterly or monthly scheduled education calls
Provide monthly calendar & newsletter
Operational Support
Comprehensive compliance management, including program maintenance and testing, quarterly training, cybersecurity monitoring, and vendor management to ensure robust and continuous regulatory adherence.
Includes everything from Base & Advisory Support PLUS:
Includes everything from Base & Advisory Support PLUS:
Manage internal compliance documentation file system
Complete monthly CCO checklist from True West
Coordination of cyber security, email archiving and review tech providers
Detailed marketing review and file documentation
Request and submission of various SEC reporting requirements: E.G., 13F
Document best execution review
File 13F on a quarterly basis (if applicable)
Third party review of firm electronic correspondence
Provide monthly update to CCO
Stay Compliant, Stay Ahead
Navigating the regulatory landscape doesn't have to be daunting. With True West’s compliance services, you can ensure your firm not only meets but exceeds regulatory expectations. Let us handle the complexities of compliance, so you can focus on growing your business and serving your clients.
