We provide comprehensive, customized compliance programs that include:

  • Risk and conflicts of interest assessment
  • Compliance procedures
  • Code of Ethics

Your compliance program will address material conflicts, risks, all applicable regulatory requirements, and industry best practices. The compliance programs we customize for clients have withstood SEC inspections since the Compliance Program Rule went into effect in 2004.

For those firms that wish to design their own compliance program, we offer best practices for use as a guide. We discourage any firm from purchasing an “off the shelf” compliance manual, unless they plan to customize the manual to address its particular business.

We will communicate with you on a regular basis to revise your procedures based upon information released by the SEC, enforcement actions, and client specific issues.