Registered Investment Adviser (RIA) Readiness, Registration, and Compliance Support Services

The Vendor is required compliance advisory services to assess securities and exchange commission (SEC) registered investment adviser (RIA) registration readiness, support sec registration, and provide ongoing regulatory compliance advisory support needed for agency’s implementation of grant awards provided by the EPA under the greenhouse gas reduction fund (“GGRF”) program.
-    Compliance Infrastructure Gap Analysis and Registration Readiness Assessment
•    Review existing compliance policies, procedures, governance documents, controls, monitoring activities, and related compliance infrastructure; 
•    Conduct interviews and information-gathering sessions with relevant agency personnel and stakeholders; 
•    Develop a comprehensive understanding of agency’s organizational structure, governance framework, investment activities, operational processes, stakeholder environment, and regulatory considerations; 
•    Assess current practices against SEC RIA requirements and relevant industry best practices; 
•    Identify gaps, deficiencies, risks, and areas requiring enhancement; 
•    Evaluate agency’s readiness to pursue SEC registration; and 
•    Develop recommendations and a prioritized remediation roadmap tailored to agency’s business model, operations, and regulatory profile
-    SEC Registration and Compliance Infrastructure Development
•    Support preparation and submission of required SEC registration filings; 
•    Develop and implement a compliance framework appropriate for agency’s business model, governance structure, operations, and risk profile; 
•    Draft or revise compliance policies, procedures, and supporting documentation; 
•    Develop a Code of Ethics, compliance monitoring framework, and compliance calendar; 
•    Provide compliance training; and 
•    Assist with regulatory inquiries associated with the registration process
-    Ongoing Compliance Support
•    Provide ongoing compliance advisory services and regulatory guidance; 
•    Support required regulatory filings and amendments; 
•    Conduct annual compliance reviews; 
•    Update compliance documentation as necessary to reflect regulatory developments and changes in agency’s operations; 
•    Provide periodic compliance training; 
•    Review compliance-sensitive communications and materials, as requested; and 
•    Assist with regulatory examinations, inquiries, or other compliance matters.