Steer Clear of Nearly $5 billion SEC 2023 Fines
Who We Are
We are grounded in a foundational philosophy, an unwavering focus on our clients, and committed to the following distinctive principles:
High touch consultant to client ratios, limiting our CCOs to <4 CCO roles, enabling the CCO to comprehensively know our clients while offering specialized and forward-looking advice;
Experienced team, with each CCO having >15 years of operational and compliance expertise, earned both ‘in-house’ at advisers and with our peer consultants;
Minimum of 2 dedicated consultants assigned to each client engagement, who back each other up, contribute additive perspectives and who coordinate deliverables;
Proprietary Regulatory Compliance Lifecycle that is our chassis for rigorous service execution and a reliable deliverable schedule;
Technology automation of our compliance calendar and code of ethics processes ensuring efficiency and timely data retention and retrieval.
What We Do
We take comprehensive responsibility for our clients’ SEC compliance program. We act as Designated CCO (in select cases) or fully support our clients’ CCO (who often has other responsibilities). For either, we ‘take the wheel’ and run our clients’ entire compliance program. The comprehensive engagement scope includes but is not limited to:
Regular recurring meetings with your expert engagement team and unlimited consulting
Compliance calendar administration
Drafting and maintenance of the compliance manual
Compliance committee management
Annual 206(4)-7 review and remediation plan
Cybersecurity risk assessment and recommendation
Compliance training
Regulatory filings
Code of Ethics administration
Marketing material review
Electronic communications review
SEC exam support
Additionally, we provide customized consulting solutions, such as:
SEC registration
Mock SEC exams
Annual 206(4)-7 reviews
Policies and procedures development
Private fund due diligence
Our counsel is candid. Never contrived. And often direct. Our regulatory compliance programs are specialized, dependable and forward-looking; collectively powering cultures of compliance.
If you're looking to enhance your compliance program, or simply have it run by an expert, contact us to learn more about how we can help you!