SEC Compliance Consultants & Services We Offer
From complete mock examinations to creating individual service plans, we have you covered.
ANNUAL COMPLIANCE REVIEW
Compliance program development and oversight, forensic testing, educational resources, on-site visit(s), and unlimited consulting.
MOCK SEC EXAMINATION
Review of documentation, interviews with key personnel, on-site examination, overview of findings, and six months unlimited consulting.
NEW ADVISER SETUP
Filing of ADV Part 1, review of new adviser exam request letter, and development of ADV Part 2, Code of Ethics and Policies and Procedures.
ABOUT FOCUS 1
How-To: Assessing Cybersecurity Risk (Part 2 of 3)
In this interactive webinar, you’ll learn how to:
• Perform a true cybersecurity risk assessment for your firm
• Develop and implement administrative, technical, and physical controls relevant to your firm’s risk exposure
• Establish a sound cybersecurity program based on applicable regulatory requirements and industry best practices
- Thomas J. DeMayo, CISSP CIPP/US CPT CEH CHFI MCSE
Director, IT Audit and Consultant O’Connor Davies
- Timothy M. Simons, CPA, CFA, CIPM, CSCP, CFP
Senior Managing Member of FOCUS 1 Associates LLC
When: 9am PT / 12pm ETLearn More ›
The SEC is proposing amendments to Form ADV that are designed to provide additional information regarding advisers, including information about their separately managed account (SMA) business; incorporating a method for private fund adviser entities operating a single advisory … Read More ›
By: Jaqueline M. Hummel, Managing Director Hardin Compliance Consulting LLC May 12, 2015 At the end of April, many private fund managers considered many of their regulatory burdens met, including filing the annual amendment to Form ADV and Form … Read More ›