Essential

As your firm grows beyond the initial startup phase, managing compliance effectively across a larger team becomes more complex. The Essential Package offers a scalable solution designed for firms with up to 15 licensed persons, providing a robust compliance framework capable of handling increased operational volume while maintaining efficiency. It builds upon the foundational elements, ensuring your compliance program keeps pace with your firm's development.

This package includes all core elements found in the Startup tier, such as quarterly Code of Ethics and personal trading monitoring, annual risk assessments (EWRA, AML, ESG), and bi-annual program reviews and testing. However, it is structured to manage the increased data points and interactions associated with a larger team. You benefit from comprehensive support for regulatory filings and receive ongoing access to our compliance experts for advice on day-to-day matters and regulatory changes. Quarterly oversight reports provide detailed documentation of all activities performed, supporting your firm's supervisory responsibilities.

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