Silver makes a culture of compliance realistic

Today, investment firm compliance best practices call for ample resources and independent input. Both regulators and investors expect continual dedication of resources to compliance and third-party testing.

Silver clients are firms contemplating SEC investment adviser registration and registrants outsourcing ongoing compliance functions. We also advise investment firms in need of SEC exam support or looking for a fresh set of eyes to test their compliance programs.

Registration and Foundation

Well position firms to cross registration milestones

Ongoing Maintenance 

Keep compliance programs effective and above scrutiny

Compliance Assessment 

Equip registered firms for regulatory exams

Exam Support

Guide firms through regulatory exams

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
  • Limited purpose broker-dealer registration, including establishing an AML program
  • 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
  • Limited purpose broker-dealer compliance program maintenance, including independent AML reviews
  • 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

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November 22, 2021

InvestmentNews Her Success Matters Podcast

Silver’s Founder and CEO, Fizza Khan, joins Christine Shaw, CEO of InvestmentNews, on the podcast Her Success Matters. The episode takes listeners through Fizza's journey to launching Silver and approach to fostering diversity in the financial services industry.
  • Nicholas Nunez
    Nicholas Nunez
    Director & Head of Regulatory Compliance
Contact us to learn more about Silver and our Regulatory Compliance Services

646-838-1687
nnunez@silverreg.com