We provide regulatory and compliance consulting services to clients regulated by the SEC, FINRA, CFTC, NFA, MSRB and/or state securities regulatory bodies. Many of our clients are regulated by multiple regulators, which adds complexity to an already challenging regulatory environment. One of our primary goals is to help clients manage this complexity and integrate compliance into the business. We find this approach serves to enhance the overall performance of the organization.
Our clients include traditional investment advisers, private funds (including private equity, real-estate, hedge funds and long only funds) family offices, municipal advisers, broker dealers, commodity trading advisers and commodity pool operators.
Our services include the following:
- Registration with applicable regulatory bodies
- Design and implementation of customized compliance programs including risk assessments, compliance policies and procedures, code of ethics, compliance testing programs and training programs
- Independent reviews of compliance and regulatory programs
- Outsourced support for Chief Compliance Officers
- Regulatory updates
- Consulting engagements on specific regulatory issues
We believe that a highly individualized approach is the most effective way to support our clients in achieving a robust and sustainable compliance culture. Each engagement begins with an in-depth understanding of your business and the specific risks and challenges you face. We then work with you to design the optimal level of service based upon your business model, current challenges and internal resources. You will be assigned a team comprised of two senior consultants and at least one associate who have the expertise to handle your specific engagement. Your SCA team mandate is to understand your business and regulatory issues in order to provide a customized solution.