COMPREHENSIVE SCOPE OF SERVICES

Maintain customized compliance manual
Update requisite state and federal registration documents
Develop and maintain customized compliance calendar
Create and test business continuity/ disaster recovery plans
Review firm’s employee personal trade surveillance and review program
Keep firm informed of changes to and periodic updates on industry rules and regulations
Liaise with firm’s outside counsel and service providers
Respond to firm inquiries regarding compliance-related matters
Develop and conduct firm’s annual compliance meeting and program review
Assist with ADV (Parts 1 and 2), Large Trader, Schedule 13F, FATCA, Form PF and other regulatory filings
Serve as consultants to legal counsel to maintain attorney-client privilege
Registration with SEC or State, including forms, compliance manual, calendar

CONTACT:

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