United States
Services

Service Overview

Registration

• SEC, NFA/CTFC and FINRA registration
• Establishing the core compliance program
• New entity or business advisory services

Compliance Program Support

• Tailored ongoing advice and support for SEC
• Compliance Monitoring Plan design, development and execution
• Compliance Manual drafting, updating and review
• Email and social media reviews
• Allocation testing and management
• Expert network chaperoning
• Marketing and advertising reviews
• Periodic regulatory filing
• Annual compliance review
• Tailored compliance training both on and offsite
• ESG Support
• Personal trading and employee compliance support
• Cyber policy design and support
• Business continuity planning and support
• Regulatory form filings including Form ADV, PF, NFA/CFTC, CPO-PQR, CTA-PR and BD

Business Support

• Operational and compliance due diligence
• Vendor management and due diligence
• Trade surveillance & support
• Marketing surveillance program development and implementation
• Internal audit co-sourcing and support
• AML and OFAC support and remediation
• Crypto currency policy and procedures support
• Annual, new hire and tailored training programs
• FCPA support
• BDC public company compliance

Testing

• Mock exams and SEC readiness reviews
• Annual and quarterly testing programs
• Fee and expense reviews
• Targeted “Health-Checks”
• GAP analysis and risk conflict reviews
• Thematic Reviews

Resource Management

• Long and short term secondments
• Onsite and off site outsourcing

Exam & Crisis Management

• Regulatory exam support and investigatory management
• Document review and production
• Mock interviews and in review preparation
• Remediation and corrective action planning
• Email review and searches
• Internal investigations