At Simon Compliance, each of our clients receives a customized compliance program designed by a former SEC enforcement attorney who knows what it takes to comply with the ever-changing laws and regulations. As a boutique securities compliance firm, we provide personal attention, tailoring each engagement and offering the option of hourly, project or retainer pricing. Our basic services include registration with the SEC, creation or revision of policies and procedures, assistance with regulatory filing obligations including Form ADV and Form PF, annual reviews, creation of a forensic testing program, compliance training and other services specific to your needs. With backgrounds in both the legal and financial fields, the Simon Compliance team brings a practical market perspective to compliance. We understand the commercial component to your business and know how to assess and manage your risks. Using our expertise and a collaborative approach, we create your compliance solution, offering carefully considered advice and accessible, responsive service at every step along the way. Working together, we keep your business compliant now and in the future.
View Top Employees from Simon Compliance LLCWebsite | https://www.simoncompliance.com/ |
Revenue | $560000 |
Employees | 13 (6 on RocketReach) |
Founded | 2010 |
Address | 180 N LaSalle St, Chicago, Illinois 60601, US |
Phone | (312) 325-7340 |
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Industry | Legal Services, Finance General, Securities Compliance, Finance, Private Equity, Hege Fund, Registered Investment Adviser, Futures, CFTC/NFA, SEC, Broker-Dealer, FINRA |
SIC | SIC Code 62 Companies, SIC Code 628 Companies |
NAICS | NAICS Code 52 Companies, NAICS Code 523 Companies, NAICS Code 5239 Companies |
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The Simon Compliance LLC annual revenue was $560000 in 2024.
6 people are employed at Simon Compliance LLC.
Simon Compliance LLC is based in Chicago, Illinois.
The NAICS codes for Simon Compliance LLC are [52, 523, 5239].
The SIC codes for Simon Compliance LLC are [62, 628].