Adviser Compliance Consulting

🚨 Are You Ready for an SEC Examination? 🚨 Navigating an SEC exam can be daunting, but Adviser Compliance Consulting has you covered! With our Mock SEC Exam service, we simulate the real exam experience, ensuring you’re fully prepared when the time comes. Here’s what you can expect from our comprehensive process: 📋 Document request list – Understand what the SEC will ask for. 🔍 Offsite reviews – We analyze your materials before stepping onsite. 🏢 Onsite visit, including: • Interviews with key personnel • Books and records review • Staff training sessions 📑 Mock findings report – Gain insight into potential areas of concern. 📈 Consulting & recommendations – Get tailored solutions to address findings. 🤝 Post-exam assistance – Stay confident, even after the exam. Let ACC help you stay ahead of compliance challenges! Contact us to learn more: https://lnkd.in/eZSAQ-B4 #AdviserComplianceConsulting #mockexams #financialcompliance #financialservices #compliance #complianceservices

Thank you to our clients, partners and friends joining us yesterday. It was a fun filled evening. Special thanks to Kristin Snyder and her team at Debevoise for hosting with us. Thank you to ACC team Giselle Casella Kelly Van Deusen Russ Lemley, CFA and Zoey Armstrong for joining for far away. Happy Holidays Tito Pombra

🎉 Thank You for a wonderful evening! 🎉 We want to extend our heartfelt thanks to everyone who joined us and our co-host Debevoise & Plimpton last night for the Bay Area SF CCO 20-Year Anniversary and Holiday Party! We celebrated a fantastic year and looked ahead to an exciting 2025. It was wonderful connecting with so many of our colleagues, clients and friends! A big thank you to Hotel VIA for providing such a stunning venue and exceptional service! #AdviserComplianceConsulting #DebevoiseandPlimpton #HotelVIA

Top 5 SEC Whistleblower Awards of 2024 (via The National Law Review): https://lnkd.in/dsUFVXhe #SEC #financialcompliance #compliance #financialcompliancenews #NationalLawReview

When you work with ACC for outsourced CCO support, a highly experienced compliance professional will serve as the named CCO on your firm’s Form ADV. Since the CCO is personally identified on the Form ADV, they will take on much of the risk associated with the CCO position. Our outsourced CCO offering includes: ☑️ Regulatory filings and updates • ADV/CRS • Form 13F/H/G • Form PF ☑️ Annual risk assessment ☑️ Rule 206(4)-7 annual compliance program review and report ☑️ Cybersecurity compliance analysis ☑️ Quarterly personal trading, email and social media review ☑️ Regulatory exam oversight and support ☑️ Compliance training and mentoring ☑️ And much more Learn more about working with the ACC team for outsourced CCO support: https://lnkd.in/e2SmvVH2 #AdviserComplianceConsulting #ACC #financialcompliance #compliance #complianceservices #outsourcedcco

We are thrilled to announce that Kelly Van Deusen has been promoted to Senior Compliance Consultant at Adviser Compliance Consulting. Kelly has been an integral part of the firm for nearly two years, contributing her expertise in regulatory compliance. She stays engaged with industry best practices by being an active member of the National Society of Compliance Professionals and completing programs such as the Investment Adviser Core Compliance program. Kelly earned her Bachelor of Science in Business Economics and Bachelor of Arts in Mass Communications from the State University of New York at Oneonta. She currently resides in upstate New York. Learn more about Kelly and our other expert team members here: https://lnkd.in/g4AQGEsA #AdviserComplianceConsulting #ACC #financialcompliance #compliance #complianceservices

ACC has been shortlisted for the upcoming Fund Intelligence Operations & Services Awards in the Best Compliance Advisory Firm category! We’re excited to be included on this prestigious list. 🎉 These awards recognize high-quality service providers who work with clients in the funds industry. They are organized by With.Intelligence, a leading provider of data, intelligence and connections to the global asset management industry. We’re looking forward to finding out the winners during the awards ceremony on Feb. 6, 2025 at the Metropolitan Club in New York. #AdviserComplianceConsulting #ACC #awards #financialcompliance #compliance #complianceservices

It was a fun two days spending time with ACC's New York team, clients and friends! Thank you to everyone who attended our happy hour, as well as thosee who stopped by our table at the LPGP Connect CFO/COO PE and Private Debt events! #AdviserComplianceConsulting

NFA and CFTC compliance can be a complex endeavor for financial firms. At ACC, we assist in NFA and/or CFTC registration and ensure your firm remains in compliance with all requirements. Our services include: • Drafting CPO compliance policies/written supervisory procedures • Leading the registration process, including: o NFA membership o CPO firm registration o Swap firm registration (as necessary) • Conducting remote training with respect to compliance obligations of associated people, principals and NFA-registered executive officers Learn more about how we can support your firm with NFA/CFTC compliance: https://lnkd.in/eZ_hGWjm #AdviserComplianceConsulting #ACC #NFA #CFTC #financialcompliance #compliance #complianceservices

ACC is in New York today at the LPGP Connect CFO/COO PE event! If you’re attending, stop by our table to meet ACC’s Tito Pombra, president and founder, and Kelly Van Deusen, senior compliance consultant. #ACC #LPGPConnect