MAH Advising for Investment Advisers: Conformity Protection

A new compliance protection service has been introduced by MAH Advising for advisers in the investing track with top-tier practices. These advisers have the most at stake when something goes wrong or slips through the cracks because they need more than cookie-cutter compliance programs.

Wealth advisers have considerably more to lose and therefore need to be protected. A lawyer is the only professional who can provide services under the “attorney client privilege”, giving us, as consultants who work with the top law firm the opportunity to discuss the unique situations and the nuances, as well as protect us from regulatory oversight of the “work product”. 

Top-tier advisers, as well as those currently working with non-lawyer compliance consultants, are protected by us, and we will continue to do so. For example, we can help: 

  • Providing advice on complex arrangements and situations requiring ADV filings;
  • Advisers to customize the Compliance Manual to fit their practice and to assign responsibility among themselves and third parties;
  • Make a succession plan for the adviser, not just a buy-sell agreement/business continuity plan;
  • Protect the adviser’s interests (and not just the custodian’s), conduct a thorough and on-site review of the adviser’s compliance practices.
  • Review and draft employment, non-compete agreements, and confidentiality;
  • Create marketing materials and review them for protection of the adviser; and
  • Ensure that advisers are adequately protected and defended during regulatory examinations by state and SEC agencies.

Get the protection you need today with MAH Advising!

Disclaimer: We are consultants, not lawyers, this is not legal advice. We work with the top law firms when the practice of law is required.