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Compass Compliance Services, LLC Michelle Kennedy Michael Henry SEC Compliance Reviews
Compass Compliance Services, LLC Michelle Kennedy Michael Henry SEC Compliance Reviews
Compass Compliance Services, LLC Michelle Kennedy Michael Henry SEC Compliance Reviews

Core Services

  • Preparation and completion of required annual regulatory compliance review including forensic testing of procedures and comprehensive written report with recommendations
  • Preparation and completion of mock SEC examination on comprehensive basis or limited scope
  • Onsite or remote assistance during SEC, state and regulatory examinations including direct interaction with examination staff and preparation of response to examination deficiencies
  • Regulatory gap analysis, “Get to Know You”; Initial entry level service providing comments in regulatory documents allowing both your firm and Compass an opportunity to get to know one another
  • Preparation of regulatory due diligence reports for acquistions
  • Preparation of internal risk assessments (for parent or holding company)
  • General support services regarding ongoing compliance functions and operational assistance including current 'best practices' within the industry

Additional Services

  • Preparation, review, implementation and maintenance of regulatory compliance manual and related written procedures and policies such as best execution, proxy voting, personal trading, etc.
  • Preparation and completion of registration with SEC and/or state securities agencies
  • Assistance with preparation and maintenance of Form ADV Parts I & 2, websites, marketing materials and other marketing/disclosure documents
  • Assistance with and review of required filings and submissions through the IARD system
  • Employee and chief compliance officer training based upon compliance/regulatory requirements

Compass Compliance Services does not provide legal, tax, accounting or financial services.