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
The role of the Chief Compliance Officer is endowed with great responsibility. From the Rule: “An adviser’s chief compliance officer should be competent and knowledgeable regarding the Advisers Act and should be empowered with full responsibility and authority to develop … Read More ›
Learn how to tackle cyber threats and protect your firm against IT security breaches. The session explores the regulatory landscape, discusses key steps in establishing internal controls, and helps set you on a pathway for a successful business continuity plan. Other … Read More ›