RIA (Registered Investment Adviser) Services:

·         SEC and State Registration

·         Written Supervisory Procedures/Compliance Manuals

·         Code of Ethics

·         Risk Assessment/Management

·         Compliance Training

·         Form ADV

·         Client Brochure

·         Form 13F and 13G

·         Solicitor Programs

·         Best Execution Analysis

·         Wrap Programs

·         Business Continuity Planning

·         Rule 206(4)-7 Annual Review

·         Mock Regulatory Audits

·         General Operational Consulting

·         General Compliance Consulting

BD (Broker Dealer) Services:

·         FINRA and State Registration

·         Written Supervisory Procedures

·         Continuing Education Needs Analysis and Training Planning

·         Annual Compliance Meeting

·         Anti Money Laundering Compliance

·         Business Continuity Planning

·         Branch Audits

·         Rule 3012 Reporting

·         Rule 3013 Reporting and Certification

·         General Operational Consulting

·         General Compliance Consulting

Donaldson Compliance Consulting, LLC
PO Box 7269, Kansas City, MO  64113
(913) 707-7366
mdonaldson@donaldsoncompliance.com