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The Nye prototype meets the new SEC standards for compliance.
Nye offers model supervisory procedures for Registered Investment Advisers. Procedures are updated when necessary to accommodate new regulatory rules, regulations, guidelines, no- action letters, etc. Nye will assist in the customization process.
We analyze your business and build a customized infrastructure and compliance program to minimize your compliance risk. This includes developing practical policies and procedures and effective controls for business functions that may incur compliance risk.
Draft new or upgrade of existing supervisory procedures and compliance manuals.
Review and improvement of current operations, communications, compliance systems, and workflow.
We assist you in translating your policies into effective procedures that are supported by documentation that can be reviewed by SEC Examiners.
Maintenance of books and records.
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