SPECIALIZED COMPLIANCE SUPPORT FOR INVESTMENT ADVISORS

AREAS OF EMPHASIS

SEC AUDIT PREP & SUPPORT

C3 assists you in responding to SEC audit demands; from initial document requests and submission to advice and support during interviews and secondary document requests.

Additionally, C3 can work with you to author a response to any deficiencies noted. This can include a point by point rebuttal to and/or remediation of areas highlighted in any SEC deficiency letter.

C3 can also assist in updating existing compliance infrastructure, building new systems and re-writing new Policies & Procedures, Code of Ethics or Cybersecurity attestations.

SEC REGISTRATION AND SUPPORT FOR NON-US ADVISORS

C3 can assist foreign advisors with US Securities and Exchange Commission registration along with setting up compliance infrastructure including Policies & Procedures, Code of Ethics, Cybersecurity and ongoing support as necessary.

REGISTRATION FOR ADVISORS IN NON-US DOMICILES; ie CANADA, SWITZERLAND, EU, UK

C3 has the expertise to assist advisors with registration and infrastructure in non-US domiciles. We can guide you through all of the necessary steps.

NEW & ON-GOING COMPLIANCE PROGRAMS

C3 works with Investment Advisers to prepare new registrations with the Securities and Exchange Commission as well as tailoring custom compliance infrastructure. In line with the requirements of securities regulators, we customize a solution for your particular needs. Our team continuously analyzes securities regulations and how they directly apply to your business and develops a tailored compliance program to satisfy regulators and ensure your firm remains current in its compliance obligations.

We also can assist registered firms with:

  • Policies & Procedures, Code of Ethics updates
  • Annual Reviews
  • Mock Audits
  • State filings (Blue Sky, 13D & F, etc)
  • State Registrations
  • Cybersecurity reviews
  • 3rd Party Vendor reviews

SURVEILLANCE & MONITORING

Regular monitoring of your firm’s compliance policies and procedures is crucial to maintaining a strong and robust compliance program. We believe a shifting regulatory landscape demands a dynamic approach to keep you ahead of the curve.

CONTACT:

Irwin Menken | 646-334-1245 | irwin@commfi.com

IMPLEMENTATION

  • Full review and gap analysis of existing compliance infrastructure
  • Customize plan to bring firm into full compliance with regulations
  • Set up on C3 technology

REGULATORY INTERFACE

  • Have experience with industry, state and federal regulators
  • Prepare for and have led numerous regulatory audits
  • Recognize current regulatory areas of emphasis and prepare clients accordingly