Partner with the experts for piece of mind.
As former compliance officers and SEC examiners ourselves, we serve as a trusted guide, helping you manage and stay ahead of regulatory risks faced by today’s investment advisers.
- On Demand Consulting
- SEC Examination Support
- Regulatory Filings
- Marketing Material Reviews
- And more…
Your new path
We seek to challenge the traditional consultancy model and improve the overall client experience by providing excellent service, increased transparency and industry collaboration.
SEC Compliance Updates
SEC Risk Alert: Review of ESG Investing
As we know from the SEC’s recent 2021 Examination Priorities, ESG remains a top focus for SEC staff this year, and is likely to remain in the spotlight for some...
SEC Division of Examinations Announces 2021 Examination Priorities
On March 3, the SEC’s Division of Examinations (“EXAMS”, or the “Division”, formerly known as the Office of Compliance Inspections and Examinations or OCIE) released their 2021 exam priorities. As...
2021 First Quarter Compliance Letter
We hope this letter finds you well. It has been an active quarter for compliance; new faces at the SEC, the 2021 priorities were announced, firms began the ramp up...