Regulatory Support for Firms That Take Compliance Seriously
Compliance requirements can change, filings have to be kept current, and written policies need to reflect what a firm actually does.
CrestPoint Compliance provides regulatory compliance consulting to help financial firms address these responsibilities through clear guidance, detailed reviews, and ongoing support.
Compliance Starts With Knowing What Needs Attention
CrestPoint Compliance works with firms that need assistance managing their regulatory responsibilities without unnecessary complexity.
We support:
- Registered Investment Advisers (RIAs)
- Exempt Reporting Advisers (ERAs)
- Broker-Dealers
- Private Fund Managers
- Municipal Advisors
- Other regulated financial firms
Our work is centered on the areas that matter to a firm's compliance program, from regulatory filings and written policies to annual reviews, risk assessments, testing, and regulatory examination preparation.
What We Handle
CrestPoint Compliance provides assistance with:
- Registration and Regulatory Filings
- Compliance Policies and Procedures
- Code of Ethics
- Personal Trading Reviews
- Risk Assessment
- Updates Regarding Regulatory Changes
- Annual Compliance Review
- Documentation of Compliance Reviews
- Testing of Compliance Policies and Procedures
We can also assist with regulatory examination preparation and related compliance matters when those needs arise.
From Routine Reviews to Regulatory Questions
Support for the Matters That Require Attention
Compliance work is not limited to an annual review. Firms may need to update a policy, complete a filing, document testing, assess a potential risk, or respond to a regulatory request during the year.
CrestPoint Compliance provides assistance with these matters and helps clients address compliance requirements as they arise.
Regulatory Filings
Assistance with registration requirements, amendments, and applicable SEC, FINRA, and state filings.
Policy Review
Review and updates to compliance policies and procedures based on the firm's activities and regulatory requirements.
Annual Review & Testing
Annual compliance reviews, risk assessments, testing, and documentation of the work performed.
Regulatory Updates
Information regarding regulatory changes that may affect the firm's compliance responsibilities.
A Practical View of Compliance
Clear Answers. Detailed Reviews. Direct Support.
CrestPoint Compliance takes a straightforward approach to regulatory consulting. We look at the firm's activities and requirements, identify the areas that need attention, and provide guidance that is understandable and usable.