We are experts in US securities regulations. Let us deal with your regulatory matters here while you focus on your US business growth. Our track record of success with foreign-based US advisers is exemplary. FrontLine Compliance has worked with firms across the globe, including firms with SEC requirements located in the EU, UK, Asia, Middle East and Australia. Whether you are faced with your first SEC exam, in need of US investment adviser registration, or need guidance on a new product or business within the US, FrontLine Compliance has your US compliance needs covered.
Services for foreign-based advisers include:
- New Registrants – Are you considering getting registered as an adviser within the US? Our SEC experts have the answers to your questions and can fulfill all registration requirements for your firm to get it fully registered with the SEC.
- Existing Firms registered with the SEC – We can review and update your current compliance program to ensure it meets all SEC requirements. We will also conduct your required filings such as Form ADV, Form PF, Section 13 filings, Reg D, etc.
- Ongoing Proactive Consulting Support – Your staff will receive continuous support on SEC requirements via regularly scheduled video discussions and messaging within our secure project management system.
- Other Core Services include:
- Client Disclosure Documents: We will ensure the necessary client disclosures for your firm are completed and up to date with US regulations.
- Compliance Manual and Code of Ethics: We will provide you with a customized Compliance Manual by updating it and including required US policies and procedures as needed. Our Compliance Manuals exceed required standards of customization, unlike the often-seen boiler plate manuals that cause deficiencies.
- Annual Compliance Review: We will conduct your SEC-required Annual Compliance Review and its written report containing valuable feedback. Our Rule 206(4)-7 and Rule 38a-1 Annual Reviews are SEC tested.
- Marketing Material Reviews: We will conduct ongoing marketing and advertising reviews for your firm. Reviews will be based on the SEC’s new marketing rules, as well as current policies of the firm, as they apply to each piece reviewed.
- SEC Mock Exams: We prepare your firm in advance for its SEC exam by taking it through a “mock exam” that will mimic an actual SEC examination.
- SEC Exam Support: We will prepare your firm for its SEC examination and provide crucial strategic consulting to ensure your exam goes smoothly.
FrontLine has been a valuable partner, providing practical, high-quality compliance guidance with consistent responsiveness. Their team combines deep expertise in SEC and regulatory matters with a pragmatic approach that delivers clear, actionable advice rather than lengthy legal analyses. Questions are addressed promptly, and the guidance provided is tailored to real-world business needs. The level of service, accessibility, and expertise they offer represent great value. I would not hesitate to recommend FrontLine to organizations seeking reliable and efficient compliance support, particularly SEC-registered investment advisers located outside the United States, where navigating U.S. regulatory requirements can present unique challenges.
The essential areas of your compliance program will be reviewed and delivered by expert consultants to ensure they meet all US SEC requirements. Additional areas of review can be added as needed.
Our programs for International Investment Advisers include value-add services and provide crucial steps on the path to ensure compliance with US securities regulations.
The FrontLine Compliance process has been proven over our history since the firm’s founding in 2006. Our clients’ successful track record with the SEC is unmatched by our competitors.
Check out our record of success and our industry and national media recognition here.
All services offered by FrontLine Compliance include access to our secure project management system, scheduled video meetings, and 24-hour response times, M-F, to clients’ requests. We are here when you need us!