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
Roundtable - Custody Rule & Compliance Readiness for Private Funds
Tuesday, July 12, 2016
PKF O’Connor Davies Knowledge Share
Please join Michael Provini, CPA, Partner, PKF O’Connor Davies, LLP – Financial Services, and Tim Simons, CFA, CFP, CSCP, CIPM, Sr. Managing Member – Focus1 Associates LLC, for a complimentary roundtable presentation that will cover how private funds can meet SEC compliance requirements and address The SEC Custody Rule.
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.
Compliance Readiness: What the SEC is Looking For
- A look at this year’s exam priorities, including:
- – Matters of importance to retail investors,
– Assessing issues related to market-wide risks, and
– Analyzing data to identify and examine registrants that may be engaged in illegal activity
- Tips on how best to prepare for an exam;
- The presence exam, including an overview for the private fund adviser; and
- The exit interview and thereafter.
8:30 am – 10:30 am
4:30 pm – 6:30 pm
PKF O’Connor Davies, LLP
665 Fifth Avenue, 7th Floor
(Entrance on 53rd between 5th & 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.
2 CPE Credits in Specialized Knowledge. No prerequisites or advanced planning required. Program Level: Intermediate / Delivery Method: Group-Live.
Who Should Attend:
This interactive workshop is designed for Chief Compliance Officers; Chief Financial Officers; Chief Information Officers; Chief Technology Officers; General Counsel, and other Compliance Professionals.
Benefits of Attending:
- Understand how to meet SEC compliance rules and regulations;
- Understand how to prepare for an SEC exam;
- Learn the workings of The SEC Custody Rule and potential exemptions;
- Share knowledge in an informal setting; and,
- Networking opportunity.
Learn More ›
Timothy M. Simons, CFA, CFP, CIPM, CSCP Senior Managing Member Focus 1 Associates LLC June 29, 2016 On December 17, 2003, the SEC hit the investment adviser industry with the final rule for Compliance Programs of Investment Companies and … Read More ›