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
Webinar: Using Technology to Streamline Your Code of Ethics
January 20, 2015
A FOCUS webinar in conjunction with Schwab Compliance Technologies, Inc.
In this valuable webinar, we will:
Dissect the Code of Ethics Rule
- What it is and to whom it applies
- Reporting requirements for personal trading
- Exceptions and Common violations
Discuss using technology to:
- Streamline compliance through feeding firm trades
- Retain and retrieve required reports
- Set parameters to avoid violations
SEC Regulatory Deadlines for Investment Advisers Jaqueline M. Hummel, IACCP®, AIFA® Managing Director, Hardin Compliance Consulting Updated February 2016 With the help of Sam Pangas, my compliance colleague at Hardin Compliance Consulting, we have compiled a list of SEC … Read More ›
OCIE’s priorities are organized around the same three thematic areas as last year: Examining matters of importance to retail investors, including investors saving for retirement; Assessing issues related to market-wide risks; and Using its evolving ability to analyze data to … Read More ›