Knight's Shield
Compliance Consulting
Tailored Compliance Solutions
Outsourced Chief Compliance Officer (CCO) Services
Get ready to take your firm's compliance program to the next level! With our outsourced CCO service, you'll have a dedicated compliance expert who will develop and maintain your compliance policies, conduct regular reviews, and ensure adherence to SEC regulations. This is the perfect solution for firms with remote staff or those looking to reduce overhead costs. Don't wait, let's get started today!
Compliance Program Development and Implementation
Let us create a comprehensive compliance program that is tailored to your firm's specific needs! We'll develop compliance manuals, code of ethics, and supervisory procedures to ensure your firm is equipped to meet all regulatory requirements efficiently and effectively. Let's get started on making your business compliant and successful!
Compliance Audits and Risk Assessments
We conduct thorough audits and risk assessments to identify potential compliance issues! We'll provide you with detailed reports that include findings and recommendations for corrective actions to strengthen your compliance program.
Regulatory Filings and Documentation
We can help you with the preparation and submission of necessary regulatory filings, including Form ADV, Form PF, and other required documentation. We will make sure that all filings are accurate and submitted on time to avoid any regulatory issues.
Annual Compliance Reviews
It's time to take your firm's compliance program to the next level! Let's perform a comprehensive annual review to ensure ongoing to SEC regulations. We will provide you with a detailed report that highlights areas of improvement and necessary updates. Let's make sure your compliance program is top-notch!
Employee Training and Education
Get ready to take your staff's compliance knowledge to the next level! Our customized training programs are designed to ensure your team is up-to-date with the compliance requirements and best practices. With regular on regulatory changes and ongoing education, we'll help you maintain a culture of compliance awareness.
Mock SEC Examinations
Simulate SEC examinations to prepare your firm for actual regulatory inspections. Identify potential weaknesses and provide guidance on how to address them before the real exam.
Policy and Procedure Development
Craft tailored policies and procedures that align with your firm’s operations and regulatory requirements. Ensure your firm has a clear and effective framework for managing compliance.
Compliance Support for Start-Up RIAs
Provide specialized support for new Registered Investment Advisory firms. Assist with initial registration, setting up compliance infrastructure, and ensuring all regulatory requirements are met from the outset.
Ad Hoc Compliance Consulting
Offer flexible, project-based consulting services to address specific compliance needs or challenges as they arise. Ideal for firms requiring expert guidance on a temporary or as-needed basis.