Who We Are
Compliance Risk Concepts provides regulatory compliance consulting services to financial firms that need knowledgeable support in managing their compliance responsibilities.
We serve investment advisers, exempt reporting advisers, broker-dealers, private fund managers, municipal advisors, and other regulated firms. Our work is focused on helping clients understand their regulatory obligations, identify areas of concern, and address compliance matters with clear and practical guidance.
From maintaining compliance documentation to completing regulatory filings and preparing for examinations, we provide hands-on assistance across important areas of a firm’s compliance program. Our approach is straightforward: understand the firm, identify what needs attention, and provide practical recommendations that can be put into practice.
Our Compliance Services
Registration & Regulatory Filings
Navigating registration and filing requirements can be time-consuming and detail-sensitive. We assist firms with initial registrations, amendments, regulatory filings, and ongoing filing responsibilities involving the SEC, FINRA, and state securities regulators.
Compliance Policies & Procedures
A compliance program should reflect the firm’s actual activities and regulatory obligations. We assist with the development, review, and updating of compliance policies and procedures, including the Code of Ethics and other applicable compliance documents.
Compliance Reviews & Risk Assessments
Regular review and testing help firms evaluate whether their compliance policies and procedures are being appropriately maintained and implemented. We conduct annual compliance reviews, risk assessments, and testing of compliance policies and procedures, with documentation of our findings and areas requiring attention.
Regulatory Examination Support
When a regulatory examination or inquiry arises, preparation matters. We assist firms in reviewing examination requests, organizing responsive materials, evaluating compliance documentation, and addressing questions raised by the SEC, FINRA, or state regulators.