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
Cybersecurity & Business Continuity Integration (Part 3 of 3)
In this valuable webinar, you’ll gain insight into:
• Current federal- and state-level regulatory guidance on incident response
• What constitutes a security incident
• How to create an incident response strategy
- 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 ›
OCIE, through the National Examination Program (NEP), will conduct examinations of SEC-registered investment advisers and broker-dealers (collectively, “registrants”) under the Retirement-Targeted Industry Reviews and Examinations (“ReTIRE”) Initiative that will focus on certain higher-risk areas of registrants’ sales, investment, and oversight … Read 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 ›