SEC Compliance for Advisors


Experts in SEC Compliance

Given that a number of MPA’s clients are Investment Advisors, and given that MPA’s founder has been married to an Advisor for 26 years, MPA has always been on top of issues regarding SEC and similar technology compliance for Financial Advisors.

If you are a Financial and/or Investment Advisor, you may find yourself asking these questions:

  • "What are other Advisors like me doing for compliance?"
  • "What types of technology issues did the SEC auditor ask an MPA client the last time a firm you know was audited?"
  • "Is the compliance bar shifting?"
  • "What’s the story about E-mail and backup compliance?"
  • "What’s the easiest disaster recovery plan for me that really works?"

As an MPA Advisor client, you receive answers to these questions and more. 

MPA serves clients in San Francisco, the Bay Area, San Mateo County, and San Jose.

SafetyNet for Advisors™ - Disaster Recovery Planning for Financial Advisors

Here at MPA, we are so dedicated to our Advisor clients that we created SafetyNet for Advisors, a comprehensive solution to compliance management and disaster recovery planning built solely for Registered Investment Advisory (RIA) firms. The SafetyNet for Advisors Program may be added to your Reliable Networks Managed Services Program if desired.

All valued SafetyNet for Advisors clients receive a free Disaster Plan Workbook written by Michael Price, the President of MPA Networks.

The workbook is based on Michael’s 30 years experience in disaster recovery planning for the small business, and valued at over $1,500. This unique workbook may be used to create a comprehensive disaster recovery plan document in just a few hours. An accessible and understandable plan for business continuity is essential for RIA compliance and the longevity of your firm. SafetyNet for Advisors greatly eases disaster recovery planning for financial advisors.

“I couldn’t have made it without you!”

Clay Ranck, Director Client Services and Technology
Wealth Architects

 

“You’ve been such a good fit, and all of the people in your organization have been extremely helpful and effective. It’s natural we think of you when we hear of other businesses who struggle with the same issues we once had. …it just make us realize how wonderful the service we receive from MPA is. You’ve always been prompt and gotten the job done, whatever that request may be. Thank you, thank you, thank you!”

Claire Silverman, Relationship Manager
Golub Group