{"id":15,"date":"2021-11-02T21:47:31","date_gmt":"2021-11-02T21:47:31","guid":{"rendered":"https:\/\/commfi.com\/?page_id=15"},"modified":"2021-12-07T23:55:01","modified_gmt":"2021-12-08T04:55:01","slug":"services","status":"publish","type":"page","link":"https:\/\/commfi.com\/index.php\/services\/","title":{"rendered":"SERVICES"},"content":{"rendered":"<h1>COMPREHENSIVE SCOPE OF SERVICES<\/h1>\n<ul>\n<li>Maintain customized compliance manual<\/li>\n<li>Update requisite state and federal registration documents<\/li>\n<li>Develop and maintain customized compliance calendar<\/li>\n<li>Create and test business continuity\/ disaster recovery plans<\/li>\n<li>Review firm\u2019s employee personal trade surveillance and review program<\/li>\n<li>Keep firm informed of changes to and periodic updates on industry rules and regulations<\/li>\n<li>Liaise with firm\u2019s outside counsel and service providers<\/li>\n<li>Respond to firm inquiries regarding compliance-related matters<\/li>\n<li>Develop and conduct firm\u2019s annual compliance meeting and program review<\/li>\n<li>Assist with ADV (Parts 1 and 2), Large Trader, Schedule 13F, FATCA, Form PF and other regulatory filings<\/li>\n<li>Serve as consultants to legal counsel to maintain attorney-client privilege<\/li>\n<li>Registration with SEC or State, including forms, compliance manual, calendar<\/li>\n<\/ul>\n<h1>CONTACT:<\/h1>\n<p>Irwin Menken | 646-334-1245 | <a href=\"https:\/\/web.archive.org\/web\/20200225104217\/mailto:irwin@commfi.com\">irwin@commfi.com<\/a><\/p>\n<h2>WIDE RANGE OF EXPERIENCE<\/h2>\n<ul>\n<li>State and SEC examination and inquiry response<\/li>\n<li>AML\/KYC\/OFAC\/FinCen policies &amp; reviews<\/li>\n<li>Annual compliance reviews<\/li>\n<li>Customized compliance policies, procedures &amp; training<\/li>\n<li>Form ADV &amp; IARD filings &amp; reviews<\/li>\n<li>State &amp; federal firm &amp; individual registrations<\/li>\n<li>Disaster recovery &amp; business continuity plan<\/li>\n<li>Code of ethics<\/li>\n<\/ul>\n","protected":false},"excerpt":{"rendered":"<p>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\u2019s employee personal trade surveillance and review program Keep firm informed of changes to and periodic updates on industry rules and regulations Liaise with firm\u2019s outside counsel and service providers Respond to firm inquiries regarding compliance-related matters Develop and conduct&hellip;<\/p>\n","protected":false},"author":1,"featured_media":0,"parent":0,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"footnotes":""},"class_list":["post-15","page","type-page","status-publish","hentry"],"_links":{"self":[{"href":"https:\/\/commfi.com\/index.php\/wp-json\/wp\/v2\/pages\/15","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/commfi.com\/index.php\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/commfi.com\/index.php\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/commfi.com\/index.php\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/commfi.com\/index.php\/wp-json\/wp\/v2\/comments?post=15"}],"version-history":[{"count":4,"href":"https:\/\/commfi.com\/index.php\/wp-json\/wp\/v2\/pages\/15\/revisions"}],"predecessor-version":[{"id":27,"href":"https:\/\/commfi.com\/index.php\/wp-json\/wp\/v2\/pages\/15\/revisions\/27"}],"wp:attachment":[{"href":"https:\/\/commfi.com\/index.php\/wp-json\/wp\/v2\/media?parent=15"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}