SEC Compliance Consulting Services
Along with your Chief Compliance Officer (CCO), our team of SEC compliance consultants evaluates and monitors your firm’s annual compliance review on an ongoing, quarterly basis. We assist your CCO in maintaining an effective Compliance Program, which serves as documentation of your firm’s compliance controls and areas monitored to assist your CCO in conducting the annual review required by Rule 206(4)-7 of the Investment Advisers Act of 1940.
As your SEC compliance consultants, we request and review key documents and identify individuals to interview, prior to going on site. While on-site we conduct the examination, interview key individuals, identify deficiencies, and provide an overview of our findings during an exit interview. Following the exam, you will receive unlimited consulting for six (6) months to assist in the implementation of our suggestions.
We take the guess work out of meeting the initial regulatory requirements. Our consultants assist with filing your ADV Part 1, reviewing your new adviser exam request letter, and developing your ADV Part 2, Code of Ethics and Policies and Procedures.
Help your CCO and compliance teams stay abreast of current rules, regulations, and industry best practices through our monthly, one-hour webinars. Our experienced SEC compliance consultants and faculty members provide unique industry insight on topics relevant to SEC, state, and/or GIPS.
If you’re looking for assistance within a specific area of compliance, perhaps our A La Carte Investment Adviser Compliance Consulting Services would suit your needs. We conduct reviews and provide guidance or training on individual areas such as Business Continuity, Marketing & Advertising, Personal Trading, Due Diligence, and more.