Nye Company
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Registration Related

Preparation of initial filing documents.

Preparation of all necessary on-going documentation. 

Reviews of existing documents to ensure consistency across all documents.

  • ADV Parts One and Two, Schedules F, G, & H
  • Narrative Brochures
  • IARD Filings
  • Annual Updating Amendments
  • Account Administration
  • U-4 and 5 Filings
  • Payment of Renewal Fees
  • Notice Filings
  • Annual Chief Compliance Officer Reviews
  • Risk Assessments
  • Investment Advisory Contracts
  • Supervisory Policies
  • Solicitor Agreements
  • Deficiency Letter Responses

Written Policies & Procedures

Nye offers model supervisory procedures customized to fit the needs of your firm..  Procedures are updated when necessary to accommodate new regulatory rules, regulations, guidelines, no- action letters, etc.   Nye  performs the customization process.  

In addition Nye Company provides the tools necessary to track compliance tasks and create the audit trail to satisfy examiner requests.

Examinations

Nye will examine your firm’s operations for compliance with SEC requirements and issue a confidential report to management outlining our examination findings with recommendations for corrective action. The examination will generally cover the following areas:

  • Form ADV/Brochure Disclosure and Delivery
  • Client Agreements
  • Registration Issues
  • Custody of Funds and Securities
  • Advertising
  • Internal Controls
  • Books and Records
  • Portfolio Management  

Plus:

  • Testing for responsiveness to the SEC’s emphasis on management’s responsibility for active participation and oversight of compliance.
  • Testing for whether policies and procedures are adequate to prevent, detect, and correct violations of federal securities laws.
  • Testing systems to determine that they produce the necessary documents to demonstrate on-going compliance and your compliance culture.
  • The mock examination will be structured to focus on the SEC’s current concerns as they apply to your firm.

Transitions

Nye Company has assisted a number of firms with the compliance issues relating to mergers and acquisitions.  In addition it has introduced firms seeking to be acquired to potential buyers.

Compliance Reviews

Nye Company has been retained to review existing compliance policies and practices to determine there adequacy and provide recommendations.