Compliance MVP
Essential compliance on day one · You set the pace for growth
Compliance From the Day You Register
Under the Investment Advisers Act of 1940, every registered investment adviser — large or small — is required to adopt and implement a written compliance program. There is no grace period and no exception for new firms. The moment your registration is effective, your compliance obligations begin.
Most small and newly registered RIAs manage this with spreadsheets, shared drives, and email reminders that depend entirely on someone remembering to check them. Compliance MVP replaces that with a structured system built specifically for the obligations a new RIA actually has on day one — not the enterprise-scale compliance infrastructure built for global asset managers.
What Compliance MVP Is Built To Do
A modular compliance platform that grows with your firm — start with the essentials, then configure each module to match exactly how your firm operates.
Compliance Calendar
Track every regulatory deadline — Form ADV updates, annual reviews, filing dates — with automated reminders before anything is overdue. Schedule your own recurring monitoring and testing activities to ensure that everything is scheduled, tracked, and evidenced with a full audit trail.
In DevelopmentPolicy & Procedure Library
Centralize your policies and procedures with full version history and a complete view log. Schedule each policy's annual review independently — stagger your review calendar across the year instead of facing it all at once — with built-in approval workflows to document every sign-off.
In DevelopmentCustom Attestation Builder
Build your own attestations — Code of Ethics, personal trading certifications, or any policy your firm requires — and schedule them for automatic, recurring deployment to your team.
In DevelopmentConfigurable Compliance Forms
Deploy intake forms with custom language for outside business activities, pre-clearance requests, marketing content reviews, and third-party vendor onboarding — built around your firm's own approval workflows.
In DevelopmentRegulatory Change Tracker
Stay ahead of SEC and state rule changes with a structured tracker that summarizes SEC changes impacting investment advisers and alerts your team, so nothing falls through the cracks.
In DevelopmentKPI / KRI Dashboards
See your firm's compliance health at a glance, with configurable thresholds that alert you the moment a risk indicator needs attention.
In DevelopmentIncident Tracking & Response
Let employees report incidents by email or form, with immediate notification to management or your incident response team. Document each step of your firm's response — including your evaluation findings and any notification actions taken — supporting the written, testable incident response program required under amended Regulation S-P.
In DevelopmentSecure Recordkeeping
Records are stored in a non-rewritable, non-erasable format aligned with SEC books and records requirements — built in, not bolted on.
In DevelopmentPriced for the Firm You Are Today
Enterprise compliance platforms are built for billion-dollar asset managers — and priced like it. Small and mid-size RIAs are left choosing between tools that don't fit their size or spreadsheets that don't fit their risk.
Compliance MVP is built differently. Start with exactly what a new RIA needs to meet its day-one obligations, then expand into more advanced workflows, dashboards, and reporting as your firm and your assets under management grow — without ever being forced into enterprise pricing built for firms ten times your size.
Built on a Real Regulatory Foundation
Compliance MVP is designed around the actual requirements of the Investment Advisers Act of 1940 and the recordkeeping standards under Rule 204-2 — not generic productivity software repurposed for compliance.
- WORM-compliant storage. Every record is written once and cannot be altered or deleted, aligned with SEC books and records retention requirements.
- Built for Regulation S-P readiness. Supports your firm's written, testable incident response program by documenting incident evaluations, response actions, and notification decisions, in line with the SEC's 2024 Regulation S-P amendments.
- SOC 2-certified infrastructure. Built on platforms independently audited for security, availability, and confidentiality.
- U.S.-based hosting. Performance and data residency optimized for U.S. operations.