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
In April 2014, OCIE announced that it would conduct examinations to identify cybersecurity risks and assess cybersecurity in our industry. In February 2015, OCIE gave us the findings of these examinations, including some of the legal, regulatory, and compliance issues … Read More ›
Rule 204A-1, Investment Adviser Codes of Ethics (the “Rule”), with a compliance date of January 7, 2005, required reporting by access persons, of their securities holdings and transactions in any securities, with some exceptions such as: (i) Direct obligations of … Read More ›