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For over two decades, we have been providing compliance consulting services and servicing as outsourced Chief Compliance Officer. Our professionals have served as SEC regulators, chief compliance officers, experienced securities attorneys and senior management of investment advisers, broker-dealers and fund administrators.
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We offer a full suite of compliance and regulatory services to private fund advisers, asset managers, and other advisers as well as investment companies and broker-dealers.
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SEC Exam Tips
Download our free SEC Exams Tips here. This was put together by ex-SEC regulators with years of experience working at the SEC and in-house at registered advisers.