Proactively maintain a robust compliance calendar and communicate with the firm monthly to request access to any items for review.

Availability to assist in gathering information, reports and preparation for any SEC examinations.

LDM will handle annual filings such as 13F, ADV amendments and notice filings.

Annual cybersecurity and compliance training for all employees and additional training as necessary.

(Rule 206 (4) 7)
Thorough review of all aspects of the business and compliance program. LDM will provide recommendations to improve and reduce any risk of deficiencies during an SEC examination.

Annual updates and changes to compliance manual, code of ethics and other policies and procedures such as disaster recovery plan.

LDM will send required quarterly transaction and holdings reports, OBA's and any other required annual forms to all employees.

LDM will provide a template for vendor management and assist in keeping a risk matrix on all vendors.

Review of billing and quarterly fee testing.

LDM will periodically review firm-wide emails as required by the SEC.

LDM will review all cybersecurity measures and policies, as well as communicate with technology vendors to ensure minimum requirements are being met.

LDM will review employee trade records, client reviews,and overall firm trading policies and procedures and ensure minimum suitability requirements are met.

LDM will keep records of all marketing materials and approve any items before distribution.

Additional services are available on a case-by-case basis. If you have a specific concern or inquiry, please reach out via our contact form.