Investment Adviser
SCMG’s Investment Adviser Services provides advisers assurance through experience. SCMG offers outsourcing and consulting services that help SEC or state-registered investment advisers streamline business and operational processes, comply with regulations and improve overall quality of compliance.
SCMG offers timely and regulatory-proven compliance services for investment advisers by providing:
Standard Compliance Program
o Organizational Charts (Supervisory chain-of-command)
o Advertising/Website Review
o Form ADV Part I and II Review
o Disaster Recovery Plan Review
o Anti-Money Laundering Review
o Books and Records Review
o Code of Ethics Review
o Custody Review
o Privacy and Safeguarding of Clients Assets Review
o Complaint Reporting and Review
o Policies and Procedures Review
o Annual Compliance Review
For complete samples of our Standard Compliance Program, click here.
Additional Consulting Services
o Policy and Procedures Amendments
o Form ADV Parts I and II Amendments and Submission
o Disaster Recovery Plan Testing and Report
o Anti-Money Laundering Testing, Reporting and Training
o Annual Risk Assessments
o On-going Review of Employee and Proprietary Trading
o On-going E-Mail Monitoring and Surveillance
o SEC Inspection/Inquiry Administration and Support
o On-going Compliance Training
o Regulatory Mandated Consulting
o Annual SEC Mock Audit
o SEC Filing Support, including Form 13F and Schedule 13G (if/when applicable)
For comprehensive samples of our Enhanced Compliance Program, click here.
Registration Services
o IARD Administration
o SEC/State Registration of Firm and Officers
o Registration of IARs and Branch Offices
o Annual and Other-than-Annual Form ADV Amendment Filings
Regulation & Legislation
North America
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