Preparation of initial filing documents.
of all necessary on-going documentation.
existing documents to ensure consistency across all documents.
ADV Parts One and Two, Schedules F, G, & H
Annual Updating Amendments
Annual Chief Compliance
Investment Advisory Contracts
Deficiency Letter Responses
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
In addition Nye Company provides the tools necessary to track compliance tasks and
create the audit trail to satisfy examiner requests.
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:
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.
Company has been retained to review existing compliance policies and practices to determine there adequacy and provide recommendations.