Services
Sound Compliance is a full-service consulting firm which focuses in the following areas
• Compliance program design, implementation and testing / administration
• Customized Policies and Procedures
• Training and educational programs
• Disclosure document preparation and revision (the New Part 2 of Form ADV)
• Code of Ethics development and monitoring
• Independent CCO:
o Annual review of Compliance Programs
o “Outsourced” CCO
Registered Investment Advisers and Advisers to Hedge Funds / Private Equity
• Compliance Program Design / Implementation
• Policies, Procedures and Internal Controls
• IARD Registrations / Filings / Administration
• Administration and Filing of 13F, 13D and 13G
• Form ADV Parts 1 and II (Disclosure Document)
• Training & Education
• Risk Assessment
• Contract Review and Assessment
• SEC or State Examination Administration
• Privacy / Data Security
• Due Diligence of Vendors or Sub-Advisors
Broker Dealers
• CRD Registrations / Filings / Administration
• Form BD Filing / Maintenance
• Written Supervisory Procedures and Compliance (3010, 3012, 3013)
• Privacy / Data Security
• Independent AML Reviews
• Training & Education
• Risk Assessment
• Due Diligence of Vendors / Third Party Providers