SEC and State Registered Investment Adviser Support

CRC has a dedicated team of former Chief Compliance Officers and Compliance Executives that are versed and experienced in establishing and maintaining sustainable and scalable Investment Adviser compliance programs for both SEC and State registered advisers. Our support model includes all aspects of IA Compliance as follows:

Our support services Include:

  • Fund Services – Hedge Funds, Private Equity, 40 Act Funds
  • Applications for Federal or State Registration
  • Outsourced CCO
  • Affiliated Broker-Dealer Conflicts of Interest Assessments
  • Overall Compliance Strategies and Execution
  • Creating and Updating Code of Ethics and Compliance Policies and Procedures Manuals
  • SEC and State Inquiry and Investigation Responses
  • Marketing Material Reviews
  • Customer Transactions and Employee Personal Trading Reviews
  • Rule 206(4)-7 Annual Compliance Reviews and Mock Audits
  • Annual or Periodic Regulatory Training
  • Ongoing Registration Services (Form ADV Part 1, 2A and 2B)
  • Form PF, Form 13F, Schedule 13G, Forms 3, 4 and 5, Form 13H Large Trader and Form Filings

What We Do

At Compliance Risk Concepts, we provide clients with the critical skills and expertise required to establish, maintain and enhance a balanced and effective compliance operational risk management program. Contact us for more information on how we can provide financial consulting services for your organization.

Contact Us

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