COMPLIANCE SERVICES

Below are the services offered by VCM:

Monthly Compliance Consulting

  • Initial Registration of Advisory Firm
  • Preparation of Monthly Financial Books and Records:
    • Balance Sheet
    • Income Statement
    • Bank Reconciliation’s
    • Minimum Financial Net Worth Computation (Net Capital)
  • Client Billing (Monthly, Quarterly)
  • Prepare and File Form ADV Part I
  • Prepare and File Form ADV Part II
  • File Annual and/or Amendment to Form ADV (I and II)
  • Risk Assessment of Investment Strategy and/or client(s) portfolio
  • Advertising Review
    • Website
    • Brochure
    • Business Cards
    • Power Point Presentations
    • Newsletters
Services noted below may be provided on an individual basis

  • Mock Audit
  • Email Retention
  • Quarterly Newsletter provided by VCM, regarding
    Industry Trends and Regulations
  • Anti-Money Laundering Compliance Services
  • Independent Representative Services
  • Representation before the Internal Revenue Service and Franchise Tax Board regarding Tax Matters

None of the above listed services should be considered legal advice. VCM, Inc. does not provide legal advice and may not be considered a Law practice.