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 and SEC Reviews
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.