The expectations of regulators and investors have raised the bar significantly in terms of investment adviser compliance over the past few years.  With the current step up in enforcement actions by the SEC, it is critical that investment advisers maintain a robust compliance program in order to effectively manage the reputational and financial risk that may result from regulatory actions and litigation. We cultivate multiple sources of regulatory intelligence to ensure that we are fully informed about new regulatory initiatives, the full impact to our clients of new rules and interpretations and exam priorities.

We offer a broad range of regulatory services to our investment adviser clients. We have been registering investment advisers with the SEC and states since 1997. Our consultants partner with clients to provide:

  • Highly individualized compliance programs
  • Mock SEC examinations
  • Comprehensive programs to support chief compliance officers in fulfilling their responsibilities
  • Support during regulatory examinations
  • CCO and employee training
  • Individualized regulatory updates
  • Special consultations on specific regulatory issues that may arise

Our services include regulatory and compliance consulting to advisers who are not required to register, or, have limited registration requirements but wish to reduce the risk of regulatory or investor liability and provide assurances to investors.

Our investment adviser clients include private fund managers, family offices, advisers to institutions and high net worth clients, advisers to mutual funds, municipal advisors, foreign advisers and retail-focused advisers.