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

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