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
2015 SEC Exam Priorities & Compliance Readiness
9am PT / 12pm ET
Duration: 60 Minutes
Hosted by Advent Software.
Join former SEC Branch Chief Examiner Timothy Simons of FOCUS 1 for:
- A look at this year’s exam priorities
- Tips on how to be better prepared for an exam
- An overview of the SEC’s National Examination Program
Learn More ›
On January 13, 2015 the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced its Examination Priorities for 2015. Remember, the SEC works on a fiscal year, which started October 1, 2014, so the SEC has been conducting examinations now … Read More ›
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 ›