Kim Collins's Colleagues at Compliance Resource Partners
Kim Collins's Contact Details
Compliance Resource Partners
Kim Collins's Company Details
Compliance Resource Partners ("CRP") assists investment advisory firms in being in compliance with the Investment Advisers Act of 1940 and broker-dealers in compliance with the Exchange Act of 1934. CRP assists investment advisers and broker-dealers in becoming investment advisers with the SEC and broker/dealers with FINRA. CRP performs SEC mock audits, annual compliance reviews and branch office audits. CRP prepares financials and FOCUS Reports for broker-dealers and performs independent Anti-Money Laundering reviews. CRP assists investment advisers and broker-dealers in obtaining state registrations, prepares written policies and procedures manuals, continuing education training plans, conducts annual compliance meetings and annual compliance oversight. CRP also assists investment advisers in writing and ensuring compliance with the Part 2A and 2B of Form ADV and various client agreements.