SEC Compliance

Contact Us

Please contact us to obtain more information on any of the above services.

London:  +44 (0)20 7958 9127

New York:  +1 (646) 751 8726
Email: compliance@robertquinn.co.uk

We make it easy for you to understand U.S. regulations. We specialise in integrated compliance programmes – one manual, one monitoring programme – for your FCA, SEC, and/or NFA needs.

We can provide a wide range of services:

SEC Registration 

We offer a premium service to manage your registration, draft the content to meet the SEC’s expectations, communicate with the regulator and provide the appropriate policies and procedures. We also provide the training you need.

Ongoing Monitoring & Support

We provide a wide range of SEC compliance monitoring services where we visit you on a weekly, monthly or quarterly basis. We also can provide Chief Compliance Officer support in certain situations. We typically like to work with clients on an ongoing basis because it allows us to better understand your business.

We kick off our ongoing monitoring services with a comprehensive initial assessment to learn about your business and identify any priorities.

Mock Examinations and Projects

We can perform mock audits on all or part of your business. Examples of recent reviews and advice include:

  • Pre-exam preparation and analysis
  • Code of Ethics
  • SEC vs FCA Gap Analysis
  • Annual Review
  • Advertising Requirements
  • Use of Third Party Marketers
  • Private Equity Disclosures
  • Conflicts of Interest
  • Form PF

Policies and Procedures

We can provide you with a range of comprehensive policies and procedures drafted by our experts and where necessary, integrate them into your FCA compliance programme.

“We feel very safe in their hands”

COO, Global Asset Management firm