Regulatory Consulting

Below is an overview of our typical regulatory consulting process, which we apply to virtually all our client projects regardless of how unique a project may be:

  • We begin with a kick-off call allowing the Vista360 Consultant team and the client to ensure we are on the same page with project scope, timing, deliverables, etc.
  • We organize a business overview call to learn important information regarding our client’s customer base, investment strategies, personnel, technology, oversight structure, etc.
  • We provide a customized document request list, which includes documents we will review to prepare for our project.  Review of documents in advance of having discussions with our client allows us to customize the discussion topics and be prepared.
  • We will hold on-site (preferably) or telephonic (as an alternative) interviews with relevant staff to gain a thorough understanding of the client’s culture, business practices and compliance program.
  • We take the information that we’ve learned through our interviews and apply it to the project scope.  This may take the form of reviewing business practices against policies, disclosures, etc. to identify inconsistencies.  Alternatively, we can take what we’ve learned to draft new policies or overhaul a client’s Form ADV.  No matter the project scope or objectives, having a thorough understanding of our client’s business practices and goals is critical to accomplishing the remainder of the project or providing future advice.
  • The remainder of the project will be dependent on scope, but typically we will provide a set of agreed-upon deliverables which could include recommendation reports, new policies, compliance testing results or any other deliverable our client requests.
  • For on-going compliance support projects, such as annual review projects, the process described above forms the foundation for our customized advice and completion of our agreed upon  tasks.