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 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
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 + 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
60 East 42nd Street
Suite 4600
New York, NY 10165
