Laven Partners will analyse and identify the differences between the regulatory regimes of your home jurisdiction and the SEC, and identify the work that will need to be completed as an SEC Registered Advisor or an Exempt Reporting Advisor (“ERA”).

We will also provide policies to update the existing FSA compliance infrastructure (compliance manual and supporting policies, procedures, systems and controls) for the purpose of the relevant SEC status, appropriate to the nature, scale and activities of your business.

Once authorised, we can advice you on the processes to be implemented to achieve SEC compliance and help you with your annual filings with the regulator. We can assist you with a number of aspects of SEC registration and ongoing SEC compliance including:

• Assistance with SEC registration including entities and principal officers;
• Preparation of a compliance manual and compliance monitoring programme that meet SEC standards;
• Development of supervisory policies and procedures and a code of ethics;
• Review of compliance programmes and internal controls;
• Guidance on SEC/FINRA books and records; and
• Developing compliance training policies.