Annual Compliance Reviews

Only SEC compliance services designed by experts that are specifically for your business will give you peace of mind in knowing your firm will meet its rule requirements. Our Rule 206(4)-7 and Rule 38a-1 Annual Reviews are SEC tested. It’s no wonder our clients have never had a comment from the SEC on their annual review process. In this case, no news is good news. We have proven time and time again over many years that we are the top SEC Annual Compliance Review consultant.

Our SEC Compliance Program Annual Reviews are just one of the many SEC compliance solutions we offer institutional, private fund and retail money managers. We’re simply the smarter choice compared to other SEC compliance consulting firms. As part of our SEC Annual Compliance Reviews, FrontLine Compliance includes the following SEC compliance services:

• Review of the overall compliance program implementation and effectiveness over the annual review period
• Conduct forensic testing of specific high-risk areas of the firm’s business
• Include all relevant compliance activities occurring during the annual review period
• Summarize significant business and regulatory events
• Prepare the written deliverables for recording the annual review, such as:
  • Memo to the Board of Directors
  • Summary of all supporting documents, including testing
  • Written Risk Assessment

All SEC Annual Compliance Reviews include:

• Frequent collaboration through scheduled video meetings and/or calls
• Ongoing access to our top executives with 24-hour response time for timely advising and Q&A
• Roster of seasoned compliance experts comprised of former SEC regulators and CCOs, each with at least 15+ years’ experience
• Access to our secure, encrypted project management system

Contact us to make your SEC Annual Review process a seamless part of your overall SEC compliance program.