US SEC Compliance Support

We provide the following services to support our clients on US SEC compliance related matters:

• Handling US SEC  Registered Investment Advisor (RIA) registration
• Handling US SEC Exempt Reporting Advisor (ERA) filings
• Establishing the core compliance program
• Reviewing and drafting Compliance Monitoring Plan
• Drafting, updating and reviewing Compliance Manual
• Reviewing Email and social media
• Conducting testing on trade allocation
• Chaperoning Expert network
• Reviewing marketing and advertising materials
• Reviewing and handling periodic regulatory filing
• Conducting annual compliance review
• Conducting compliance training
• Reviewing and preparing regulatory form such as Form ADV
• Conducting trade surveillance and support
• Conducting marketing surveillance program
• Conducting SEC Mock exams
• Conducting annual and quarterly testing programs
• Providing regulatory exam support and investigatory management
• Conducting mock interviews and in review preparation for regulatory examination
• Conducting email review and searches

Points to Note About US SEC Examinations

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To learn more, please email [email protected]