We handle compliance so you can focus on what you do best.
We’re hands-on and operate like part of your firm to improve your firm’s compliance. We start our work by establishing the fundamentals of a good compliance program and streamlining employee compliance through technology. Once the “blocking and tackling” is set, as well as a regular cadence, we dive deeper to address your firm’s specific risks and areas of SEC focus.
We are proactive and communicate with you regularly so compliance isn’t the task you keep shifting further away from you on your desk.
Employee Disclosures
We setup, disseminate, collect and analyze the regular employee disclosures and certifications.
Reporting
We collect information, draft and submit regulatory reporting e.g. Form ADV and Form PF
Review
We undertake your required annual review and interim testing based on your firm’s risks and SEC Risk Alerts.
Maintenance
We maintain and update your Compliance Manual. When new rules are finalized or business changes occur we work with you to memorialize those changes in the firm’s Compliance Manual.