Private Fund
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: o Organizational Charts (Supervisory chain-of-command) o Advertising/Website Review o Form ADV Part I and II Review o Disaster Recovery Plan Review o Anti-Money Laundering Review o Books and Records Review o Code of Ethics Review o Custody Review o Privacy and Safeguarding of Clients Assets Review o Complaint Reporting and Review o Policies and Procedures Review o Annual Compliance Review For complete samples of our Standard Compliance Program, click here. o Policy and Procedures Amendments o Form ADV Parts I and II Amendments and Submission o Disaster Recovery Plan Testing and Report o Anti-Money Laundering Testing, Reporting and Training o Annual Risk Assessments o On-going Review of Employee and Proprietary Trading o On-going E-Mail Monitoring and Surveillance o SEC Inspection/Inquiry Administration and Support o On-going Compliance Training o Regulatory Mandated Consulting o Annual SEC Mock Audit o SEC Filing Support, including Form 13F and Schedule 13G (if/when applicable) For comprehensive samples of our Enhanced Compliance Program, click here. o IARD Administration o SEC/State Registration of Firm and Officers o Registration of IARs and Branch Offices o Annual and Other-than-Annual Form ADV Amendment Filings
Standard Compliance Program
Additional Consulting Services
Registration Services
Regulation & Legislation
North America
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