Services

Prepare, amend, or renew federal and state regulatory documents
Identify and develop risk assessment monitoring procedures
Develop and implement compliance policies and procedures reasonably designed to prevent violations of federal and state law
Develop compliance artifacts that evidence compliance oversight
Develop and automate orientation and training

Form ADV Part 1 and Part 2A & 2B Revisions and Updates
Compliance Program Monitoring and Testing
Service Provider Oversight
Code of Ethics Administration
Political Contributions Administration
Gifts and Entertainment Administration
Conflicts of Interest Monitoring
Advertising and Disclosure Reviews
Compliance Training
Quarterly Compliance Reporting to Executive Committee and Fund Boards
Regulatory Alerts and Compliance Consulting Related to Impact of New Rules and Amendments on Firm’s Compliance Program

Regulatory Examination Support
Mock SEC Exam (“gap analyses” of policies and procedures against current form of SEC document request letter)
Annual Compliance Program Review and Rule 206(4)-7 Report Preparation
Annual Compliance Program Review and Rule 38a-1 Report Preparation
Section 15(c) Report Preparation