We Do The Compliance Work.
You Focus On Your Business.
To help Investment Advisers, Broker-Dealers and Private Funds increase their productivity by simplifying and resolving the complexities of compliance.
The Compliance Partner You Keep
An effective compliance program is dynamic and should constantly evolve in response to changing regulatory requirements, business risks, new product offerings and new technology. Compliance management is complex and requires valuable time that would be better spent on your primary business activities. We understand these dynamics and know how to streamline your compliance activities to help you stay focused on growing your business.
Our process begins with a comprehensive discovery phase designed to give us a clear understanding of your business model, related risks, and compliance needs. After completing this assessment, we design and help implement an effective compliance program that enables you to meet your regulatory requirements.
The 38 Compliance Difference
Once your compliance program is in place, we will serve as your outsourced partner, taking on various compliance functions. We can manage your entire compliance program as well as take on other time-consuming tasks. You can determine the level of our involvement.
If your firm has not filed for registration with the SEC, FINRA, or state regulatory authorities, we will prepare and file registration applications with the appropriate regulators to ensure your firm and representatives are properly registered to conduct business.
We go beyond advice, partnering with you to deliver hands-on compliance support to free up your time to focus on your clients.
We are the outsourced compliance solution ensuring that financial institutions have an efficient and effective strategy to manage their compliance needs.