Compliance Services

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Compliance Services

Fractional CCO-Services

Under this model, Windstream becomes the named CCO of the firm, and provides the necessary compliance services to satisfy your advisory compliance needs taking into consideration the size and needs of the firm.

Service Snapshot

  • Pre-registration consulting

  • Preparation/Filing of Form ADV, Firm Brochure + Form CRS

  • Manage Code of Ethics

  • SEC Exam Support (beyond new registrant exam)

  • Assist in creation of governance committees and agendas

  • ODD preparation and participation

  • Coordinate with counsel on business or structure changes

  • Review of investment advisory contract(s)

  • Marketing Material Review/Approval

Compliance Consultant Services

Windstream designs custom compliance solutions to help firms in the investment management space flourish in today’s regulatory environment. Our effective solutions help compliance teams achieve efficiency.

Service Snapshot

  • Examinations, Testing, Meetings + Onsite

  • Provide and manage Compliance Calendar

  • Annual Compliance Review - Rule 206(4)-7

  • Testing and Monitoring

  • Test employee conformance with Code of Ethics

  • Custom compliance policies + procedures

  • Annual renewal notifications for firm + representatives

  • Cybersecurity Policies, Testing, and Training