SEC Ad-hoc/Project work

When we undertake project work, we take the time to understand your business, which empowers us to deliver bespoke compliance solutions. We work hard to understand your business to provide clear compliance solutions tailored to your needs and business growth.

About our service

Our collaborative approach allows you to leverage our experience and knowledge of the common regulatory issues we see across our client-base and the industry. Our clients expect a true partnership where we are available and ready to help as questions and issues arise.

Click here if you would like more information on our ad-hoc/project work SEC support services.

Service Checklist

Some of the projects that we have carried out with clients, include the following:

Comprehensive mock audit and interview preparation

206(4)-7 Annual Compliance Review

Policy and procedure gap analysis

Form PF assistance

Assessment and development of risk-based policies and procedures

Assistance with regulatory examinations and communicating with regulator