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

CONTACT:

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

WIDE RANGE OF EXPERIENCE

  • State and SEC examination and inquiry response
  • AML/KYC/OFAC/FinCen policies & reviews
  • Annual compliance reviews
  • Customized compliance policies, procedures & training
  • Form ADV & IARD filings & reviews
  • State & federal firm & individual registrations
  • Disaster recovery & business continuity plan
  • Code of ethics