Polaris Compliance Consulting, LLC is a consulting firm specializing in compliance for Registered Investment Advisors ("RIA"). We provide expert compliance guidance for emerging and established businesses by consultants that have served as former regulators, consulted for the "Big 4" accounting firms, as well as worked for the top investment firms on Wall Street. Satisfying compliance obligations is becoming increasingly difficult with new and existing rules and regulations, and finding in-house expertise can be costly and challenging. Whether you need a compliance assessment analysis conducted of an existing program, or have specific areas in need of process improvement, we offer solutions that meet your needs and find ways to make compliance fit seamlessly into your business model.
Polaris Compliance Consulting, LLC provides RIAs with services that support compliance with the Securities and Exchange Commission ("SEC") and State Securities Authorities.
Strategic Compliance Consulting is a regulatory-compliance consulting firm that provides compliance, operational and management-consulting services to Investment Advisers, SEC, and FINRA affiliate firms, as well as other Financial Services Industry participants. We are Blue Sky Licensing and Registration experts and our knowledge and expertise encompasses all state jurisdictions. Through our Registration Essentials Program™, we help clients determine the appropriate regulator (state or federal), prepare initial registration documents, process the filings with minimal deficiencies, and provide post registration (financial reporting requirements, proof of bond continuation, and net capital deficiencies) support. Strategic also provides a full array of ongoing compliance support services through our Beyond Registration™ Program. Our compliance programs offer clients the choice of full-service or project-based support services that include, but are not limited to proactively troubleshooting compliance issues related to client-relations, management, and firm operations, developing effective supervisory policies and procedures, and identifying regulatory risks. We also provide annual compliance reviews, mock regulatory audits, and on-site or telephone audit support. Our CCO Boot Camp Program™ provides general compliance or content-specific training for compliance officers, management, and operational staff. Strategic also provide securities due diligence assistance, regulatory research, and B2B consultation support services to Law Firms, Securities Issuers, Broker-Dealers, and other Consultants.