SEC Registration

Our experts both in the US and UK have extensive experience of drafting and submitting SEC and SEC Exempt Reporting Adviser registrations. Our primary focus is to provide you with pragmatic and comprehensive regulatory and compliance guidance and support.

About our service

As a professional services firm solely focused on the regulatory compliance arena, we are committed to consistently providing excellent customer service.

Working with your executive team, our dedicated and experienced senior consultants will deliver the most strategic and appropriate compliance guidance to assist you with your requirements.

Click here if you would like more information on our SEC registration services.

Service Checklist

Our SEC registration service offering includes the following:

Establishment of an online account via Investment Adviser Online Registration Depository (“IARD”).

Drafting of Parts 1A, Parts 2A and 2B of the Form ADV, the SEC’s registration and disclosure document:

Filing of ADV with the SEC and subsequent correspondence regarding registration.

Provision of an SEC Compliance Manual and Code of Ethics drafted to meet the expectations of the SEC

Provision of compliance monitoring program