Our Regulatory Filing Quality report (RFQ™) is designed to help Chief Compliance Officers improve the quality of information they file in Form ADV, Form D, Form 13F,-D-G, and Form NCEN/NPORT.

Since 2018, the SEC has been investing in more advanced data science and analytics to help them identify registrants for targeted and sweep exams. Compliance staff should take steps to reduce inadvertently triggering regulatory and litigation risks.

Access your RFQ™ each year to evaluate and ensure the quality, accuracy and consistency of your ADV SEC filings to align with market standards.

More Details

• We use AI and data science to evaluate, score and benchmark your regulatory filings to ensure that you know how the SEC will look at you
• Scores are based on the accuracy, consistency and frequency of your answers and the readability, conciseness and completeness of your disclosures.
• Scores for your answers are benchmarked against 4 major types of filers and for your disclosures against filers with similar investment profiles.