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We help you maintain a meaningful and fully documented compliance program.
What We Do
We provide compliance support services to investment advisers,
broker-dealers and other financial institutions.
Dedicated Compliance Team
We are your compliance partner, not just a consultant. We provide comprehensive ongoing compliance administration.
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Leadership Team
Frank Watson
President
Ellen Harvin
Vice President
John Marriott
Vice President
An Expert Team Makes All The Difference.
Latest Flash Reports
Our industry is consistently changing, and we want to keep you up to date with how it affects you.
BB&T Subsidiary Must Pay $5.7 Million After Policy Violations
BB&T Subsidiary Must Pay $5.7 Million After Policy Violations WHAT HAPPENED? On March 5, 2019, the U.S. Securities and Exchange Commission ordered BB&T Securities to pay $5.7 million following [...]
SEC Requirement: Annual Amendment for Form ADV
SEC Requirement: Annual Amendment for Form ADV WHAT HAPPENED? The SEC requires that investment advisers file a Form ADV Annual Amendment within 90 days of the end of the adviser’s [...]
ShareFile Accounts to Switch to Multi-Factor Authentication
ShareFile Accounts to Switch to Multi-Factor Authentication WHAT HAPPENED? The SEC’s Office of Compliance Inspections and Exams (“OCIE”) has announced that cybersecurity will continue to be a focal point [...]
OCIE Announces 2019 Examination Priorities
OCIE Announces 2019 Examination Priorities WHAT HAPPENED? On December 20, 2018, the SEC’s Office of Compliance Inspections and Exams (“OCIE”) announced its 2019 examination priorities. Key areas include cybersecurity, [...]
OCIE Issues Risk Alert Outlining New Recommendations for Electronic Communications
OCIE Issues Risk Alert Outlining New Recommendations for Electronic Communications WHAT HAPPENED? On December 14th, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert [...]
Reminder: LAST DAY to Submit IARD Form Filings is December 27th
Reminder: LAST DAY to Submit IARD Form Filings is December 27th WHAT DOES THIS MEAN FOR ME? This is a reminder that the last day to submit form filings via IARD and [...]