Services
SEC Compliance Services
We work together with our clients to venture beyond what’s been done before in compliance. We strategize, design and execute compliance and risk programs for today’s leading and most innovative investment managers.
Get Support from Former Examiners
Spot Red Flags
Give LPs the
Diligence They Expect
Strategic Compliance
In addition to routine compliance program support, we provide strategic support for new services, corporate initiatives, and other business changes to support our clients as they grow.
SEC Compliance
Telephone and Email Consulting
Annual Compliance Program Reviews
Mock SEC Examinations
Gap Analysis Reviews
Marketing Material Reviews
SEC Examination Support
Compliance Program Testing
Tailored Compliance Manuals
Cybersecurity Policies and Procedures
Compliance Training
SEC Registration
Regulatory Filings
ESG Policies and Procedures
CCO Support
Code of Ethics Administration
RegTech Support
Policies and Procedures Testing
Social Media Reviews
Negative News/Internet Searches
Political Contributions Testing
Expert Network Call Chaperoning
Vendor Due Diligence
Marketing Material Reviews
AML Training and Testing
Government Sanction List Screening
Trusted by Top Investment Firms Nationwide
Versed in
Tech Platforms
Unlike other compliance consulting firms, we don’t have any strategic relationships with other technology providers. This allows our consultants to provide unbiased support and recommendations to help find the best service provider for you. We’ll never sell you software that you don’t need to meet our sales quotas.
Your information
is safe with us.
Confidentiality and information security is critical to our business. Rest assured that we practice what we preach – we maintain a rigorous security regime and stay up to date on cybersecurity practices.
We help keep you SEC compliant.
The regulatory landscape continues to rapidly evolve. We’re here to help you stay a step ahead.
