Compliance and Regulatory Services
Our team offers a range of services to help fund managers, private asset owners, and capital markets manage their compliance and risk effectively.
Compliance Advisory Package
We offer Investment Adviser Registration services, including entitlement documents, SEC/State registration, CPO/CTA registration and Compliance Program Support.
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Broker-Dealer Compliance
Our team of professionals provides broker-dealers with compliance services to fulfill FINRA and state requirements and prepare for new regulations.
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Family Office Advisory Services
We assist family office clients in establishing a culture of compliance to mitigate risks and focus on their business, drawing on experience with affluent families.
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Cybersecurity Risk Mitigation
We provide cybersecurity program administration and incident response services, training, reviewing, and coordinating with technical consultants for material changes.
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Who We Are
Cedar Mountain Consulting is a boutique consulting firm providing compliance and regulatory support to investment advisors, private fund managers, broker-dealers and futures professionals. Our founders address a gap in the market by tailoring advice to your business.
We are practitioners that understand the complex regulatory landscape and design a compliance program that makes sense for your business. We strive to add value. You should expect us to clearly and concisely distill complex rules and regulations and reduce risk. |
Compliance Advisory ServicesWe provide continuous high-touch services tailored to your business. We are former practitioners, compliance and legal professionals with a long history of achieving results for our clients. Yes, we take pride in what we do. Our reputation is everything in this industry.
Our team has been through countless SEC examinations, and we know what regulators are seeking. Let us support you so that compliance is an integrated part of your firm. We assist both large managers and mid-size/emerging managers. |
Expanded ServicesIn addition to offering compliance regulatory services, we offer a range of solutions for broker-dealers. The Financial Industry Regulatory Authority (“FINRA”) requires broker-dealers to “maintain a system to supervise the activities of their associated persons” and to achieve compliance with securities laws and regulations and FINR’s rules. Our broker-dealer services group can help implement policy and supervisory programs that address FINRA and SEC Regulations. Niel Armstrong heads this group and has decades of regulatory experience. We also provide a comprehensive suite of services for family offices and funds.
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We're Cedar Mountain Consulting, providing customized compliance and regulatory services that cater to your business requirements. Our team of specialists is well-versed inthe latest regulations to keep your business compliant. Get in touch with us today to explore how we can support your business's growth. We’re proud of our work, treat each client uniquely, offer high-touch promises, and aim to revolutionize the industry.
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