SEC on-going compliance

The primary focus of the RQC Group is to provide you with pragmatic and comprehensive compliance guidance and support. In addition, we are committed to consistently providing excellent client service.

SEC on-going compliance

The primary focus of the RQC Group is to provide you with pragmatic and comprehensive compliance guidance and support. In addition, we are committed to consistently providing excellent client service.

About our service

Our compliance monitoring is intended to help you build your business in a pragmatic and thoughtful way. We are able to provide you with visibility over the industry through our experience across our diverse client base. Our pragmatic approach takes into account both regulatory requirements and industry best practice.

Our extensive SEC compliance monitoring services include a visit from us on a monthly or quarterly basis. We typically like to work with clients on an ongoing basis because it allows us to better understand your business and your risks.

Click here if you would like more information on our on-going SEC compliance support services.

Service Checklist

Our ongoing service offering includes the following:

Form ADV amendments and updates

Review and updating of Compliance Manual and Code of Ethics

Development and maintenance of the compliance monitoring program

Quarterly onsite monitoring meetings

Annual compliance training

Compliance calendar and checklists

Rule 204(6) Annual Compliance Review

Marketing materials review

Assistance with regulatory filings e.g., Form PF and Form 13H

Targeted compliance testing – e.g., fees and expenses

Employee electronic communications review

Frequent industry updates

Ad-hoc regulatory queries

Assistance with regulatory examinations

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