I'm not sure if I'm ready for an SEC examination.
The SEC is here!!! What do I do now?
I never have time to update the compliance manual – what if I'm missing something?
I am so busy with my day-to-day responsibilities, I never seem to be able to catch up with my compliance testing.
I am very good at helping my clients manage their assets and plan for the future. But I really don't have the time or inclination to understand all the rules and regulations governing the business.
I am registered as an investment adviser and I have engaged a compliance consulting firm. But when I have a question, I can't seem to get in touch with my consultant and get an answer when I need it.
I have a pretty good handle on my firm's compliance responsibilities, but sometimes I need advice. But I don't have a lot of industry contacts and consulting an attorney will cost too much.
Our CCO just resigned, and we need a replacement ASAP.
My firm has been managing private funds for years, and we recently had to file with the SEC as an exempt reporting adviser. Do I need to set up a compliance program?
I don't know whether my firm is ready for an SEC exam, but we just don't have enough in our budget to pay an outside firm for a mock SEC audit.
With all the new rules and regulations, administrative actions and lawsuits, I just can't keep up. I'm afraid I'm going to miss something important.
I've just been appointed CCO, and I have no idea where to start. Help!
I just received a letter from SEC staff with the results of my firm's examination, but I have no idea how to fix the problems cited.
I never seem to have enough time to write my annual review of the compliance program. And even when I do, I don't really know what to put in it.
I am a CCO and the only person with a compliance background at my firm. I know what I need to do, but could use some tools to help me manage the compliance program. I would like to turn to other compliance professionals for advice and to provide insight into the industry practices and regulator views.
As CCO, I can handle the required testing and monitoring, but just can't keep up with all the marketing materials my firm produces in the quick turnaround times demanded.
Our firm has just been awarded a contract to manage mutual fund assets. I'm not that familiar with the requirements of the Investment Company Act of 1940 and could use some help.
I know my firm needs help with compliance, but I have no idea what kind of service I should get.
I know the regulators are focusing on cybersecurity, but I have no idea how to evaluate my firm's risk of being hacked or how well my vendors are protecting my data.
I just spent thousands of dollars with a law firm to get my firm registered and draft a compliance manual. But I'm still not sure how to set up a compliance program.
I’m thinking about starting a private fund or investment adviser. Do I need to be registered? How do I do that?