Compliance Consulting

SKRC offers comprehensive compliance consulting services, from the compliance help needed during the formation/start-up phase of your business to the ongoing compliance consulting and support required as your firm grows and matures. Our consulting services are provided on tailored fixed-fee arrangements. SKRC brings to each compliance engagement a practical, customized approach based on our extensive legal, compliance and regulatory experience coupled with the knowledge gathered from our large network of relationships within the financial services space.

For more information on SKRC’s compliance consulting services, please contact your primary attorney in Seward & Kissel’s Investment Management Group or David Tang at tang@sewkis.com or (212) 574-1260.

Mock Audits

SKRC conducts mock audits that are designed to prepare you for an SEC exam. Drawing from our deep experience representing investment advisers in SEC exams, investigations and monitorships, our mock audits help identify red flags and regulatory risk areas. We perform extensive analysis of your books and records and conduct in-person interviews of your key personnel to replicate the SEC exam experience.

For more information on SKRC’s mock audit services, please contact your primary attorney in Seward & Kissel’s Investment Management Group or David Tang at tang@sewkis.com or (212) 574-1260.

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Online Subscription

SKRC offers an online subscription service, providing access to information and documents that can assist investment advisers with their registration and ongoing compliance obligations.

The documents available through the subscription service are user-friendly and can be tailored for any advisory business. In many cases, they provide a step-by-step process to assist you in completing the required document.

Click here to learn more about the subscription service.

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