Silver makes a culture of compliance realistic
Registration and Foundation
Well position firms to cross registration milestones
- Regulatory risk review
- Draft and file Form ADV
- Customized, relevant Compliance Manual, Code of Ethics and related policies and procedures
- A compliance calendar tailored to the firm’s compliance program and business practices
- Marketing material, website and social media review
- Initial staff training session
Ongoing Maintenance
Keep compliance programs effective and above scrutiny
- Continuous regulatory risk and compliance program review
- Management of a compliance calendar tailored to the firm’s compliance program, business practices, testing plans and exam history
- Updates to Form ADV, Form CRS, Form PF and other regulatory filings
- Updates to Compliance Manual, Code of Ethics and related policies and procedures
- Employee Code of Ethics disclosure review
- Marketing material, investor communication, website and social media review
- Annual Review, including testing, a findings report and recommendation implementation
- Annual, new employee and thematic trainings
- Regular deadline reminders and updates on new industry and regulatory developments
Compliance Assessment
Equip registered firms for regulatory exams
- SEC Preparedness Reviews test document production and prepare firms for regulator interview
- Mock SEC Exams probe, like regulators, for compliance and operational weaknesses
- Forensic Testing analyzes specific firm practices such as expense or investment allocation, marketing, best execution and inside information practices
- Findings Implementation effects recommendations made by Silver or another company
Exam Support
Guide firms through regulatory exams
- Prepare firms for the regulator exam process and interviews
- Lead initial document and follow-on request production
- Develop deficiency letter responses and any resulting disclosures, policies or procedures
SilverVision
Contact us to learn more about Silver and our Regulatory Compliance Services
646-838-1687
[email protected]