Do you even know what could happen if you fail your examination and end up fined, or worse, with an SEC Enforcement action on your plate? Read our FREE report, “10 Things Advisers WISH They Knew BEFORE Their Examination Led to an SEC Enforcement Action“.
An examination by your state’s securities division or the SEC is no joke. Just take it from Karen Bordonaro, CCO for Demming Financial Services Corp. The SEC examined her firm for the first time and it took two people five days, working up to 10 hours a day, to gather all the information the examiners asked for . She was given a list of 18 to 20 areas that she needed to supply information for, and theirs was a limited scope examination!
Examinations are no joking matter. And you want to make sure you find the right provider to get you ready for one. Just ask Phillip Statler.
Completing your compliance tasks is tedious but a necessary evil. A lot of times though, the person in charge of compliance is the owner (who doesn’t want to do it) or an employee or IAR who is tasked with doing it (but doesn’t really understand it). This just means that the compliance tasks aren’t done or aren’t done to the minimum required regulatory standard.
So why are you going at it alone? Find out what’s included and pricing below.
What does this mean? You get to go golfing on a beautiful sunny day while a LAW FIRM takes care of cleaning up your compliance program and making sure the regulators don’t find anything to fine you, for just $995 a month.
Yup, that’s it.
It’s really quite simple. First, we KNOW that our program will get your firm ready for your examination and get your compliance program in tip top shape.
But, we also realize you are probably skeptical, so we wanted to remove any hesitation or doubt you may have. Second, we trust you to be fair and not take advantage of us or our certification.