Welcome to The Compliance Gurus (TCG)!
The Compliance Gurus™ is the premiere compliance and practice management information resource available to the investment adviser community. Via The Guru Report, a frequent e-mail correspondence, and The Compliance Gurus™ website, Advisers receive practical regulatory compliance advice, timely alerts, the latest news and information, as well as practice management guidance and more - all for less than a dollar a day!
While our name is a bit irreverent, our compliance knowledge and the focus we bring to our subscribers' compliance needs are serious business. Professional regulatory compliance and practice management services are all we do, and the principals at Dickinson Regulatory Alliance, LLC (DRA) and Adviser BackOffice Solutions LLC (ABS) each have over 20 years of industry experience (see who we are). Through our E-Newsletter Service, you'll see why hundreds of Advisers trust us to manage their compliance needs.
The Guru Report includes:
- At least 150 The Guru Report e-mails annually, containing (but not limited to):
- Actionable alerts for SEC/State audits or sweeps, compliance requirements including IARD filings, document amendments, record-keeping, annual testing of policies and procedures, etc.;
- Advance notification of regulatory filing deadlines, required information, necessary documents, and more;
- Articles on preparation for regulatory audits, compliance trends, preparation of compliance documents (disaster recovery plans, etc.), recordkeeping and more;
- Interviews with industry insiders, regulators, etc.;
- Self mock audit advice, suggestions and forms;
- Practice management advice and tips;
- Compliance forms and templates;
- Articles on best practices from other advisers;
- Technology and product reviews and advice;
- Responses to general compliance and practice management questions posed by advisers via e-mail;
- State-specific information about new or modified requirements;
- Ideas and suggestions for staff compliance meetings;
- Much more.
- The Compliance Gurus™ website contains archived information on every aspect of adviser compliance including past issues of newsletters, links to resources, forms and templates, etc. (Subscribers can access via password)
- Discounts on compliance services from Dickinson Regulatory Alliance LLC.
Advisers often list compliance concerns as one of the most problematic and stressful aspects of running an investment advisory business. We believe strongly, that The Compliance Gurus™ Guru Report will pay for itself, over and over again, in better compliance practices and readiness, but most importantly, in peace of mind.
The Guru Report is available for an annual subscription price of $360. You can't afford to be without it!
We think you will find The Compliance Gurus™ the best investment you could make in your practice.
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