Our Services:

• Mock SEC Exams: In-depth simulations of SEC examinations, incorporating document reviews, staff interviews, compliance testing, and a detailed report outlining findings and actionable recommendations.
• SEC Registration We complete the SEC registration process for your firm from start to finish.
• Examination Support: Customized assistance and strategic guidance for your firm during active or upcoming SEC examinations, ensuring preparedness and confidence.
• Annual Compliance Reviews: Rigorous yearly evaluations of your firm's compliance policies, procedures, internal controls, testing methodologies, and regulatory disclosures.
• Policies and Procedures Development: Creation and implementation of customized compliance policies and procedures specifically designed to reflect your firm’s unique operations and regulatory requirements.
• Ongoing Compliance Support: Continuous, on-demand advisory services including second-opinion reviews and dedicated support to assist Chief Compliance Officers in navigating complex and evolving regulatory landscapes.
• Training: Interactive, practical training sessions on the Investment Advisers Act delivered by seasoned former SEC examiners, tailored for effective staff engagement and education.
• Project-Based Engagements: Targeted solutions addressing specific compliance challenges or special projects your firm faces.
• Outsourced Compliance Services: Comprehensive outsourced compliance support, ensuring regulatory adherence while allowing your firm to focus on its core business activities.