Compliance work with a clear purpose
Know what your policies require, where your compliance program needs attention, and what your reviews show.
Apex Compliance Group provides compliance consulting for regulated firms. We assist with filings, written policies, risk assessments, and reviews that help you make informed decisions about your compliance program.
What needs attention at your firm?
A registration application. A policy that no longer reflects your business. An annual review that needs to be completed and documented.
Each assignment starts with the matter at hand. We consider your firm’s activities, applicable requirements, and existing materials to establish the scope of work. Our recommendations explain the findings and identify the steps your firm should consider.
Registration and Regulatory Filings
Prepare registration applications, amendments, and other required submissions with assistance in gathering and reviewing the relevant information.
Compliance Policies and Procedures
Develop and revise written policies to reflect your business activities, regulatory obligations, and employee responsibilities.
Code of Ethics
Establish or update standards addressing employee conduct, conflicts of interest, and applicable personal securities reporting requirements.
Updates Regarding Regulatory Changes
Understand developments relevant to your firm and determine whether they require changes to policies, filings, or compliance practices.
Risk Assessment
Assess compliance risks associated with your firm’s business and existing controls to identify areas requiring closer review.
Documentation of Compliance Reviews
Create written records of review activities, findings, and follow-up items so your firm can track what was examined and what remains unresolved.
The details of your business matter
Apex Compliance Group assists registered investment advisers, exempt reporting advisers, broker-dealers, private fund managers, and municipal advisors.
The scope of an engagement depends on the firm’s regulatory status and the assistance requested. A policy revision may require a close look at employee responsibilities; a compliance review may involve examining records and testing selected controls. We keep the work tied to the questions your firm needs answered.
Our work helps you understand:
- What was examined: The materials, activities, and requirements covered by the assignment.
- What needs attention: Findings explained in relation to your firm’s obligations and written standards.
- What comes next: Recommended actions and matters requiring follow-up.
