SCA assists family offices in determining whether they are required to register as an investment adviser. For those family offices that are required to register with the SEC, CFTC or one or more state regulators, we provide an end to end registration and compliance program solution. 

We prepare all registration forms and required disclosure forms. We also prepare a customized gap analysis, compliance policies and procedures manual, code of ethics, ongoing testing program, risk assessment, compliance calendar, implementation guidance for annual review requirements and any other required compliance documentation.