Registration timelines vary, depending on which services you want to provide and how you want to charge for those services. However, as a rule of thumb, we recommend that SEC registrants allow 60 days from our first meeting until registration. State registrations will likely require a slightly longer timeframe.
Yes! We offer a variety of ongoing compliance services designed to ensure your continued compliance.
Yes. We specialize in evaluating a firm’s business model and providing recommendations on how your program can be more efficient and effective. We can also recommend technology solutions designed to bolster your program. Once the program is designed, we will assist in the implementation by training your staff to execute the program and will revise your firm’s documents, so they accurately reflect the new design. We will be by your side for the duration of the implementation and can test the program once it is installed. Our goal is to design a program that is right for you.
We are happy to provide guidance and assistance during the stressful time of a regulatory exam.
