Regulatory Compliance Consulting

Comply consultants guide you through the full lifecycle of compliance oversight: 

• Form ADV Updating and Amendments – annual and ongoing updates
• Compliance Manuals – creation, review, and amendments to reflect evolving requirements
• Regulatory Filings – including Form 13F, N-PX, 13H, Form D, and Form PF
  
• Compliance Testing – targeted testing in high-risk areas with documented evidence
• Compliance Program Administration – maintenance, oversight, and reviews to reasonably ensure adequacy and effectiveness
• Marketing Material Reviews – aligned with SEC and FINRA expectations
• Regulatory Examination Preparation and Support – from document production to interview-coaching, response, and remediation 

We help ensure your program is operationalized and documented. 

As part of select consulting engagements, clients receive curated regulatory updates delivered quarterly. These include topics like: 

• SEC risk alerts 

• Sweep exams and annual exam priorities 

• Notable enforcement cases 

• Comply-authored articles

• Key speeches from regulators 

When regulators knock, speed and clarity matter. Our consultants help you prepare with: 

• Mock Exams – simulating examinations to uncover gaps before regulators do 

• Annual Reviews and Risk Assessments – aligned with SEC Rule 206(4)-7 and designed to prove program effectiveness 

• SEC Examination Support – Guidance through each stage of the exam process – from responding to broad document requests, preparing a “Day-One Deck,” and coaching senior management for interviews, to assistance in addressing examiner questions and supplemental requests in real time 

Your program gains strength when everyone is equipped to play their part. Comply supports your team through: 

• New Employee Compliance Training – by way of an on-demand onboarding session 

• Annual Compliance Meetings – structured to engage leadership and staff 

• Monthly Consulting Calls – a standing forum for updates, questions, and strategic planning 

This cadence supports supervisory practices, ensures staff understand applicable regulatory requirements and firm expectations, and keeps compliance visible, consistent, and reinforced across your firm.