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Don't read anything into di Florio's departure to FINRA, sources say
5/13/2013
The question had to be asked. With Carlo di Florio, who headed up the SEC's exam program for investment advisers and investment companies for three years, moving to FINRA, a group with its sights on overseeing IAs, could there be a connection?The official response from FINRA is no. di Florio will be ...
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Advocates ask that you make some noise over newly filed adviser exam bill
4/29/2013
If at first you don't succeed .... That adage comes to mind now that Rep. Maxine Waters (D-Calif.) has resubmitted her Investment Adviser Examination Improvement Act (IA Watch, July 30, 2012). The bill would allow the SEC to assess investment advisers a fee to pay for the cost of examinations.That b ...
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SRO or user fees, SEC's Walter calls for either option now to allow for more IA exams
4/22/2013
Again last week the issue of the dearth in exams of investment advisory firms came up, with SEC Commissioner Elisse Walter calling for a solution now because "there simply are not enough examiners to go around."Although she has leaned toward the SRO solution in the past, this time Walter - in speaki ...
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H.R. 1627 Adviser Act of 2013
04/22/2013
This is the text to H.R. 1627, the Investment Adviser Examination Improvement Act of 2013. This bill, sponsored by Rep. Maxine Waters (D-Calif.), would allow the SEC to charge user fees to pay for its exams of investment advisory firms. This was submitted in April 2013.
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COMPLIANCE RESOURCE DIRECTORY
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Pepper Hamilton
http://www.pepperlaw.com
620 Eighth Avenue
37th floor
New York NY 10018
(212) 808-2700
phinfo@pepperlaw.com
Pepper Hamilton counsels a wide range of businesses in the investment management community. Its practice involves three general areas: representation of registered investment companies and registered investment advisers, representation of alternative investment funds and investors in alternative products, and counseling regarding securities regulation, enforcement and litigation.
Areas of Expertise:  Compliance Consulting; Litigation Consulting
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Compliance Advisers
http://www.complianceadvisers.com
4600 South Ulster Street
Suite 560
Denver CO 80237
(303) 795-0400
info@complianceadvisers.com
Compliance Advisers has qualified consultants to assist investment advisory firms in meeting the demanding regulatory requirements of the financial services industry. It offers a full range of assistance, from advice to interim compliance staffing needs. Its services include: Form ADV Development; Investment Advisory Agreement Compliance; Private Securities Transactions; Written Procedures & Compliance Manuals; General Compliance Consulting; Mock Audits, and Code of Ethics. It also offers expert witness services.
Areas of Expertise:  Compliance Consulting; Litigation Consulting; Registration
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Erado Message Control Solutions
http://www.erado.com
321 Burnett Ave.S.
Suite 100
Renton WA 98057
(866) 673-7236
sales@erado.com
Erado is the nation’s leader in electronic communication compliance, and one of the fastest growing business-tech companies. Erado delivers archiving, compliance, security, and encryption services to customers worldwide though a cost-effective suite of SaaS solutions for the capture, review, and archiving of electronic communications including email, instant messaging, and social media content such as LinkedIn, Facebook, Twitter, and more. Founded in 1994, Erado helps organizations manage and enforce cost-effective compliance and records retention policies. For further information please visit our website, www.erado.com.
Areas of Expertise:  Compliance Consulting
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RIA in a Box
http://www.riainabox.com
108 West 39th Street
Suite 604
New York NY 10018
(866) 611-7638
info@riainabox.com
RIA in a Box offers ongoing monthly compliance services designed to fit every investment adviser’s budget, with packages beginning at $99 per month. Its team of former state regulators has unique compliance expertise which spans both SEC and state investment adviser regulations. Its consultants can answer compliance questions, review registration documents, provide Chief Compliance Officer (CCO) training, and conduct a mock state and SEC audits.
Areas of Expertise:  Compliance Consulting; Compliance Monitoring and Testing; Education and Training; Registration
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Red Oak Compliance
http://www.redoakcompliance.com
1406 East Main Street
Fredericksburg TX 78624
(512) 721-0421
Red Oak can save clients time and money by reducing their full-time staffing needs while staying compliant with the regulatory bodies. Its highly qualified compliance consultants are here to help you improve efficiency, increase profitability and make your job easier. It also offers clients help with registration, education, training and advertising review.
Areas of Expertise:  Compliance Consulting; Compliance Monitoring and Testing; Education and Training; Registration
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RIA Compliance Group LLC
http://www.ria-compliance.com
5301 North Federal Highway, Suite 380
Boca Raton FL 33487
(561) 674-0092
sales@ria-compliance.com
RIA Compliance Group provides practical, personalized, and cost-effective solutions to satisfy all of your compliance needs. We offer full-service investment adviser registrations, mock State and SEC exams, as well as ongoing compliance consulting programs to fit every budget. Our mission is to get you up and running as quickly as possible and keep you compliant for years to come. All of our services can be ordered a la carte or as part of a fixed-price retainer package.
Areas of Expertise:  Compliance Consulting; Compliance Monitoring and Testing; Registration
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Katahdin Solutions
http://www.katahdinsolutions.com
13 Pratt Court
Cohasset MA 02025
(617) 359-2600
peter.robinson@KatahdinSolutions.com
Katahdin Solutions helps companies at various stages of establishing and operating a regulatory program to identify and evaluate regulatory challenges, develop strategies and plans for improvement, define operating frameworks, and implement solutions to address critical near term needs and enable strategic operating flexibility.
Areas of Expertise:  Compliance Consulting; Compliance Monitoring and Testing; Education and Training; Policies and Procedures; Trade Surveillance and Reporting
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Compliance Advisor Professionals, LLC
http://www.complianceadv.com
134 Bayview Avenue
Berkley MA 02779
(508) 828-1410
info@complianceadv.com
Compliance Advisor Professionals, LLC provides a wide range of services from initial investment adviser registration to on-going investment adviser compliance support. It offers guidance on specific compliance issues and keeps clients in conformance with investment advisory requirements and SEC regulations. Whether helping clients register, or working with them on an ongoing basis, CAP's services are designed to assist investment advisers understand and streamline their compliance responsibilities.
Areas of Expertise:  Compliance Consulting; Policies and Procedures; Registration; Trade Surveillance and Reporting
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Alaric Compliance Services, LLC
http://www.alariccompliance.com
150 Broadway
Suite 302
New York NY 10038
(212) 243-5241
gtalarico@alariccompliance.com
Alaric Compliance Services, LLC provides regulatory compliance services to investment managers and funds registered with the SEC and the NFA/CFTC and to broker/ dealers registered with FINRA. Our client base includes a broad spectrum of well-known and respected names in the financial services sector, including investment advisers, investment companies, both closed-ended and open-ended mutual funds, business development companies, hedge funds and private funds, commodities and futures firms ranging in assets under management from $100 million to $110 billion. Our key services include: independent Chief Compliance Officers, monitoring and testing services, SEC and FINRA Mock Examinations, Principal Financial Officer services and compliance consulting services. Founded in 2004, we have offices in New York, Chicago, Los Angeles and Washington, D.C.
Areas of Expertise:  Compliance Consulting; Compliance Monitoring and Testing; Policies and Procedures; Registration; Risk Management
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ACI
http://www.acisecure.com
40 Wall St
34th floor
New York NY 10005
(212) 668-8700
info@acisecure.com
ACI works with investment advisers and dual registrant advisers to develop customized compliance programs that consider the firm's size, structure, and business model. Its compliance outsourcing services are designed specifically to meet each investment adviser's compliance needs and promote investor confidence. Investment adviser compliance programs should be developed and maintained using a risk-based approach.
Areas of Expertise:  Compliance Consulting; Policies and Procedures; Risk Management
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Advanced Regulatory Compliance Inc.
http://www.advreg.com
415 N Camden Drive
Suite 121
Beverly Hills CA 90210
(310) 275-7300
pburns@advreg.com
Advanced Regulatory Compliance, Inc. is a consultancy dedicated to helping investment advisory firms, broker-dealers and their representatives meet ever-changing compliance and regulatory obligations. It offers personalized and tailored compliance/regulatory advice to address each firm's way of doing business. To that end it offers clients assistance with investment adviser registration, mock audits, annual reviews and due diligence.
Areas of Expertise:  Compliance Consulting; Compliance Monitoring and Testing; Policies and Procedures
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Best Practices Consulting Group
http://www.bestpracticesconsulting.com
19201 Sonoma Highway
No 162
Sonoma CA 95476
(707) 939-3531
bestpracticesgroup@hotmail.com
Best Practices provides comprehensive compliance and operational services to investment advisers and hedge funds. Whether a start-up or a long-standing advisory firm, Best Practices offers extensive industry experience and up-to-the-minute insight into new regulatory trends and initiatives. Its services include: SEC and State Registration; Management Advice and Support; Regulatory Examination Assistance; Simulated Examiner Audits; Supervision Protocols for Trading, Marketing and Back Office Operations; and Form ADV Regulatory Filings.
Areas of Expertise:  Compliance Consulting; Policies and Procedures; Registration; Trade Surveillance and Reporting
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Focus 1 Associates, LLC
http://www.focus1associates.com
675 N 5th Street
Jacksonville OR 97530
(541) 201-2001
info@focus1associates.com
Focus 1 Associates provides advisory firms with the tools and consulting necessary to complete and document a robust annual review that satisfies industry best practices and the requirements of Rule 206(4)-7 of the Investment Advisers Act of 1940. Its services include: Performing a GAP Analysis; Development of a Compliance Program; Maintaining/updating the firm's current Compliance Program, and the completion of a number of forensic testing items within the overall compliance program.
Areas of Expertise:  Compliance Consulting; Compliance Monitoring and Testing; Education and Training; Policies and Procedures; Registration
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Gordian Compliance Solutions, LLC
http://www.gordiancompliance.com
235 Montgomery Street
Suite 460
San Francisco CA 94104
(415) 762-2848
compliance@gordiancompliance.com
Gordian Compliance Solutions focuses on offering practical compliance and risk management solutions to firms of all sizes. Its consulting practice is based upon decades of hands on experience and insight as compliance and audit professionals. Gordian strives to provide innovative, experienced and collaborative consulting that enhances clients' compliance programs.
Areas of Expertise:  Compliance Consulting; Policies and Procedures; Registration
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Registered Advisor Services
http://www.registetedadvisorservices.com
PO Box 516
Durham NH 03824
(603) 292-6772
renee@registeredadvisorservices.com
Registered Advisor Services is a consultancy offering a wide range of services, including an initial review of clients' Form ADV Part 1 with your Part II and Schedule F and Wrap Fee Brochure for consistency among the documents, a review of their template Client Agreement for compliance with state and federal requirements. It also offers assistance with Written Supervisory Procedures, Code of Ethics, and Business Continuity Plans, among other services.
Areas of Expertise:  Compliance Consulting; Policies and Procedures; Registration
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SC&G
http://www.scandg.net
5801 Nicholson Ln.
Suite 920
North Bethesda MD 20852
(301) 770-0549
Strategic Compliance & Governance works closely with clients in all sectors of financial services to develop compliance strategies in response to changing markets and industry structures. We assist you in translating these strategies to your everyday practices, resulting in implementable plans for corporate success and long-term prosperity.
Areas of Expertise:  Compliance Consulting; Policies and Procedures; Registration
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SEC Compliance Advisors
http://www.secadvisors.com
590 Madison Avenue
18th floor
New York NY 10022
(866) 526-3555
info@secadvisors.com
SCA consultants are constantly communicating with regulators and reviewing new rules, guidelines, no-action letters, etc. in order to stay current on SEC and state regulatory body exam priorities, focus areas and new initiatives. SCA’s consultants provide investment adviser firms with supervisory and compliance procedures, prepare clients for SEC exams, conduct Annual Reviews, review personal securities transactions, respond to SEC deficiency letters, review advertising and marketing material, among other services.
Areas of Expertise:  Compliance Consulting; Compliance Monitoring and Testing; Policies and Procedures; Registration; Trade Surveillance and Reporting
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Sutherland
http://www.sutherland.com
1114 Avenue of the Americas
40th floor
New York NY 10036
(212) 389-5000
http://www.sutherland.com/contactusform/
The firm’s mutual fund group has extensive experience with all legal matters involved with the formation, registration, operation, distribution, and restructuring of mutual funds registered under the Investment Company Act of 1940 and unregistered pooled investment vehicles. The firm also regularly represents investment advisers on legal matters relating to their status, formation, registration and operation.
Areas of Expertise:  Compliance Consulting; Litigation Consulting; Policies and Procedures; Registration
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US Compliance Consultants
http://www.uscomplianceconsultants.com
15 East Putnam Avenue
#286
Greenwich CT 06830-5424
(888) 798-2930
U.S. Compliance Consultants creates compliance programs that reflect how its clients conduct their advisory businesses. Its services include: Liaising with SEC examiners during a regulatory audit; Drafting disclosures for an adviser’s web site and LinkedIn page; Conducting annual compliance/training meetings for advisory personnel; Creating a business succession plan for a single-person advisory firm. It will also create fully customized policies and procedures, customized compliance programs, and even offers compliance outsourcing.
Areas of Expertise:  Compliance Consulting; Policies and Procedures
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Vigilant Compliance
http://www.vigilantcompliance.com
5 Christy Drive
Suite 209
Chadds Ford PA 19317
(610) 558-1750
sfaia@vigilantcompliance.com
Vigilant Compliance provides outsourced Chief Compliance Officers for Investment Advisers. An Adviser’s Compliance with the Investment Adviser’s Act of 1940, the Securities Exchange Act of 1934, the Securities Act of 1933, and other Regulations takes careful analysis and planning—and Vigilant brings both to Investment Advisers.
Areas of Expertise:  Compliance Consulting; Compliance Monitoring and Testing; Policies and Procedures

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