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
Compliance Readiness and Custody Rule Knowledge Share
Please join O’Connor Davies, LLP and Focus 1 Associates LLC for a presentation and discussion on Compliance Readiness and the SEC Custody Rule.
Compliance Readiness: What is the SEC looking for?
During this interactive presentation, we will provide an overview of the SEC’s National Examination Program and 2015 exam priorities:
- A look at this year’s exam priorities;
- Tips on how to best prepare for an exam;
- The Presence Exam, including an overview for the private fund adviser; and
- The exit interview and thereafter.
The Custody Rule Revisited:
- Definition of custody as it has changed over time;
- Concerns expressed by the SEC over compliance with the Custody Rule;
- Possible exemptions; and
- Answers to frequently asked questions.
Michael Provini, CPA, Partner-in-Charge of Private Funds Attest at O’Connor Davies, LLP.
Timothy Simons, CPA, CFA, CIPM, CSCP, CFP, Senior Managing Member of Focus 1 Associates LLC and former SEC Branch Chief Examiner.
8:30 am – 10:30 am
4:30 pm – 6:30 pm
O’Connor Davies, LLP
665 Fifth Avenue, 7th Floor
(Entrance on 53rd between 5th and Madison)
New York, NY 10022
Seating is limited. To register at either time for this complimentary presentation, please contact Eric Gelb, CPA at 914.341.7049 or firstname.lastname@example.org.
In February, the SEC’s Division of Investment Management issued Guidance Update No. 2015-01, “Acceptance of Gifts or Entertainment by Fund Advisory Personnel.” Section 17(e)(1) of the Investment Company Act of 1940 (“IC Act”) states that: [i]t shall be unlawful for … Read More ›
On January 13, 2015 the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced its Examination Priorities for 2015. Remember, the SEC works on a fiscal year, which started October 1, 2014, so the SEC has been conducting examinations now … Read More ›