Training & Specialized
Compliance Services
Focused Expertise for Specific
Compliance Needs
Some compliance matters require specialized expertise and a closer look.
Our team brings decades of experience as former SEC examiners and managers to provide focused guidance on the compliance issues affecting your firm.
SPECIALIZED COMPLIANCE SERVICES
SEC MARKETING RULE
COMPLIANCE REVIEWS
The SEC Marketing Rule creates specific requirements for how investment advisers advertise their services and investment performance. We review your marketing materials and practices to help identify potential compliance issues and ensure your policies, procedures, disclosures, and review processes support compliance with the rule.
ANNUAL COMPLIANCE
TRAINING PROGRAMS
Effective compliance training should help employees understand their responsibilities and how your firm's compliance policies apply to their work. We provide annual compliance training tailored to your firm's business, compliance program, and regulatory requirements.
WEBSITE & SOCIAL MEDIA
COMPLIANCE REVIEWS
Your website and social media are extensions of your firm's marketing and communications. We review your public-facing content to identify potential compliance concerns, including issues involving advertising, performance information, testimonials and endorsements, disclosures, and consistency with your firm's other regulatory disclosures.
CYBERSECURITY
COMPLIANCE ASSESSMENTS
Cybersecurity is an important part of your firm's overall compliance and risk management framework. We assess your cybersecurity policies, procedures, controls, and oversight to help identify potential gaps and areas requiring attention. Our approach considers your firm's actual operations and the regulatory expectations applicable to your business.
WRITTEN INFORMATION SECURITY PROGRAM (WISP) REVIEWS
Your WISP should reflect your firm's actual operations, systems, and information security practices. We review your WISP and related policies and procedures to help identify gaps, assess whether the program is appropriately tailored to your business, and identify areas that may need to be strengthened.
ANTI-MONEY LAUNDERING COMPLIANCE SUPPORT
AML requirements and regulatory expectations can vary depending on a firm's structure, activities, and applicable regulatory obligations.
We help firms evaluate their AML compliance needs and provide support with AML policies, procedures, risk assessments, due diligence, documentation, and related compliance matters.
PROJECT-BASED
ENGAGEMENTS
Not every compliance need requires an ongoing engagement.
We provide project-based compliance support for specific needs, including regulatory developments, compliance program enhancements, remediation efforts, policy and procedure projects, and other defined compliance initiatives.
EXAMINER EXPERIENCE.
PRACTICAL PERSPECTIVE.
Our team's firsthand experience as former SEC examiners and managers informs our work and helps us identify issues, ask the right questions, and provide recommendations grounded in real examination experience.
Why it matters for your firm:
We understand the issues that drive examination findings.
We know how regulators evaluate compliance programs.
We provide clear recommendations that strengthen compliance and reduce risk.
