​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