Services

 

Strategic Compliance Solutions offers a wide range of services for NFA, CFTC and SEC registered firms, as well as unregistered investment advisors. Following is a sampling the services we currently provide to our clients:

Audits & Reviews

  • Regulatory compliance
  • Anti-money laundering
  • Specific operational or compliance issue troubleshooting
  • Annual compliance reviews
  • Due diligence assistance for investors
  • Valuation
  • Best Execution

Developing Policies & Procedures

  • Compliance Manual
  • Written Supervisory Procedures
  • Anti-Money Laundering / OFAC
  • Customer Identification
  • Code of Ethics
  • Compliance Calendar
  • Business Continuity / Disaster Recovery Manual

Training

  • General compliance
  • Intensive training for Compliance Officers
  • Anti-money laundering / OFAC
  • Ethics

Ongoing Support

  • Update policies & procedures
  • Regulatory filings
  • Email monitoring
  • Personal trading reviews
  • Compliance information resource