Ongoing Compliance Support

We help increase efficiency, reduce costs, and manage risks by assisting chief compliance officers with management of their compliance programs.

Our visibility into industry practices and regulatory trends and our focus on understanding your business make us an effective partner to supplement your own expertise.

Services include:

• New adviser registration with the SEC

• Monthly regulatory updates and consultations

• Routine testing and annual compliance review completion

• Cyber reviews

• Compliance calendar design and management

• Electronic communication surveillance

• Compliance training

• Core compliance support