The Ara Support Program is designed to provide Management with access to senior level compliance knowledge, experience and judgment, on an ongoing basis.

The support program is exclusive to Ara and was developed to address the unique needs of independent firms. Ongoing support is built on four pillars of service:

I) Maintain Your Firm’s Compliance Structure:
We will analyze the impact of regulatory changes and changes to your business, and ensure your firm’s polices, procedures, forms, logs and record keeping protocol remain current with changing circumstances.

II) Assist Management with Ongoing Compliance:
We will ensure that your Firm’s compliance structure is implemented effectively by:

• • Monitoring the timely performance of key compliance tasks.
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  • Performing on-site compliance reviews.
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  • Providing on-site compliance training for all staff, and
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  • Drafting an annual compliance report to your Board.

III) Provide Ongoing Guidance on Compliance Matters
Ara will serve as your ongoing "Compliance Advisor". In this role, we will be a resource to Senior Management on the regulatory aspects of any strategic or business issue. Topics we cover include: review and approval of marketing materials, staff registration matters, and referral arrangements.

IV) Act as Your Firm’s Regulatory Ambassador
Where necessary, Ara will liaise with the applicable regulators on your firm’s behalf. We will represent the firm on any regulatory inquiries, audits, sweeps, or requests for information. If warranted, we will also seek exemptive relief or other accommodations.