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Boston Compliance Associates
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Organization Overview
Boston Compliance Associates is a boutique firm offering full-service compliance consulting and integrated legal support for investment advisers, financial planners and hedge funds. Our track record of no-comment examination letters speaks for itself.
Each engagement is staffed with both a compliance consultant and a securities attorney, ensuring comprehensive coverage of state and federal regulatory requirements.
Services include SEC mock audits, initial firm launch support, development and enhancement of compliance policies and procedures, Form ADV updates, annual training programs, marketing and advertising reviews, drafting of investment adviser agreements, management of IARD and EDGAR accounts, review of vendor agreements, and ongoing Chief Compliance Officer support.
Guided by the Circle of Compliance® model, all clients receive structured, hands-on continuous support at an affordable price with flexible payment options delivering exceptional value for independent investment professionals!
www.bostoncomplianceassociates.com
Each engagement is staffed with both a compliance consultant and a securities attorney, ensuring comprehensive coverage of state and federal regulatory requirements.
Services include SEC mock audits, initial firm launch support, development and enhancement of compliance policies and procedures, Form ADV updates, annual training programs, marketing and advertising reviews, drafting of investment adviser agreements, management of IARD and EDGAR accounts, review of vendor agreements, and ongoing Chief Compliance Officer support.
Guided by the Circle of Compliance® model, all clients receive structured, hands-on continuous support at an affordable price with flexible payment options delivering exceptional value for independent investment professionals!
www.bostoncomplianceassociates.com