Capability · Compliance Services
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.
Pre-registration consultingPreparation/Filing of Form ADV, Firm Brochure + Form CRSManage Code of EthicsSEC Exam Support (beyond new registrant exam)Assist in creation of governance committees and agendasODD preparation and participationCoordinate with counsel on business or structure changesReview 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.
Examinations, Testing, Meetings + OnsiteProvide and manage Compliance CalendarAnnual Compliance Review - Rule 206(4)-7Testing and MonitoringTest employee conformance with Code of EthicsCustom compliance policies + proceduresAnnual renewal notifications for firm + representativesCybersecurity Policies, Testing, and Training