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Investment Adviser

SCMG’s Investment Adviser Services provides advisers assurance through experience. SCMG offers outsourcing and consulting services that help SEC or state-registered investment advisers streamline business and operational processes, comply with regulations and improve overall quality of compliance.

SCMG offers timely and regulatory-proven compliance services for investment advisers by providing:

Standard Compliance Program

Organizational Charts (Supervisory chain-of-command)

Advertising/Website Review

Form ADV Part I and II Review

Disaster Recovery Plan Review

Anti-Money Laundering Review

Books and Records Review

Code of Ethics Review

Custody Review

Privacy and Safeguarding of Clients Assets Review

Complaint Reporting and Review

Policies and Procedures Review

Annual Compliance Review

For complete samples of our Standard Compliance Program, click here.

Additional Consulting Services

Policy and Procedures Amendments

Form ADV Parts I and II Amendments and Submission

Disaster Recovery Plan Testing and Report

Anti-Money Laundering Testing, Reporting and Training

Annual Risk Assessments

On-going Review of Employee and Proprietary Trading

On-going E-Mail Monitoring and Surveillance

SEC Inspection/Inquiry Administration and Support

On-going Compliance Training

Regulatory Mandated Consulting

Annual SEC Mock Audit

SEC Filing Support, including Form 13F and Schedule 13G (if/when applicable)

For comprehensive samples of our Enhanced Compliance Program, click here.

Registration Services

IARD Administration

SEC/State Registration of Firm and Officers

Registration of IARs and Branch Offices

Annual and Other-than-Annual Form ADV Amendment Filings

SCMG Newsletter

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