- Risk assessments
- Annual reviews and reports
- Mock audits and preparedness assessments
- Electronic communications testing and review
- Website, marketing and advertising review
- Books and records guidance
- Ongoing employee and proprietary trading reviews
- Business continuity and disaster recovery planning and testing
- Registration: investment adviser, commodity pool operator and/or commodity trading adviser
- SEC and NFA exam preparation and guidance
- Compliance policy and procedure development
- Anti-money laundering program audits and training
- Due diligence services
- Training and education
- Regulatory filing assistance
- On-going advice and CCO support