Cedar Mountain Consulting stands out from its competitors due to its unique approach of providing a comprehensive range of services for a fixed monthly fee, which has proven to be immensely popular among its clients. This all-inclusive package encompasses an annual review, SEC exam support, unlimited consultations with our expert consultants, and all other related services.
Our founder’s success in implementing this model reinforces our belief that proactive support is the optimal way to cater to our clients’ needs. At Cedar Mountain Consulting, transparency is our hallmark, and our clients have the assurance of knowing precisely what they are paying for. In contrast, other consulting firms offer exam support services without providing the same level of comprehensive support that we provide.
Through our deep understanding of the industry and practical approach, we are able to provide ongoing compliance support. The services we offer include:
Our founder’s success in implementing this model reinforces our belief that proactive support is the optimal way to cater to our clients’ needs. At Cedar Mountain Consulting, transparency is our hallmark, and our clients have the assurance of knowing precisely what they are paying for. In contrast, other consulting firms offer exam support services without providing the same level of comprehensive support that we provide.
Through our deep understanding of the industry and practical approach, we are able to provide ongoing compliance support. The services we offer include:
Investment Adviser Registration
- Prepare and submit entitlement documents for access to FINRA’s IARD Web Portal
- Prepare and submit Form ADV Part 1 and 2 for SEC and State registration
- Register firm as a Commodity Pool Operator/Commodity Trading Adviser with the CFTC and NFA—including Forms U-10, 7R, and 8R
- Manage FINRA IARD administration—including applicable state notice filings and registration of investment adviser representatives (Form U4s)
- Provide guidance for additional SEC, NFA, or state requests during registration
Compliance Program Support
This is our most in-demand package. We provide ongoing compliance support for a monthly flat rate that includes the following services:
- Prepare and submit amendments to Form ADV as needed, and on an annual basis
- Prepare and submit Form PF (see below)
- Assess and maintain your firm’s compliance manuals, including Policies & Procedures, Code of Ethics, Privacy Policy, Business Continuity, and Disaster Recovery Plan
- Conduct LPA and Side Letter Compliance Testing
- Conflict of Interest Review and Mitigation (including preparing a detailed risk matrix requested on virtually all SEC Exams)
- Draft and submit applicable filings for regulatory reporting: Forms 3 4 and 5, Form D, Form PF, Form 13F, Form 13H, Schedule 13D/G
- State “blue sky” notice filings (For private fund managers)
- Ongoing compliance training for firm employees
- Assist with forming and conducting minuted meetings of various compliance, valuation and risk committees
- Ongoing assistance during the fundraising process (in particular, we meet with potential investors seeking to conduct diligence on your compliance and operations program)
- Unlimited email, phone, and one-on-one consultant support
Auditing & Review
- Conduct annual compliance program review and risk assessment
- Administer mock regulatory exam, including findings report
- Review procedures relating to Anti-Money Laundering compliance, best execution, trade management procedures, process for performance calculations proxy voting, vendor due diligence, gifts and entertainment, and political contributions
- Conduct audit of necessary Books & Records
- Review marketing materials, newsletters, websites and presentations for compliance with the Investment Advisers Act of 1940 and applicable NFA guidelines
- Monitor employee personal trading
- Set up email archiving processes
Regulatory Examination Services
We are the ideal team to assist you with regulatory and exam support. We’ve represented clients from various perspectives – having worked as an associate at a law firm, partner at a compliance consulting firm, in-house CCO, outsourced CCO, and as a regulator with the NASD Department of Enforcement (now FINRA). We will provide comprehensive exam support throughout the audit process and have been involved with numerous SEC exams. We prepare your compliance program, ahead of time, in order to be responsive and compliant making the SEC exam process productive and efficient.
- Prepare Initial SEC response letter and initial document request (we set up your compliance program digitally, in advance, in order to provide a quick and thorough response)
- On-site presence and support during the regulatory exam process including preparation of team members for interviews
- Review all documents requested by regulators
- Respond to follow up regulatory requests, working with legal counsel (if needed) to determine potential issues and appropriate responses
- Preparing final response letter to SEC once findings are known
- Work with the firm to take any necessary remedial steps to address the regulator’s concerns. This may include modifications to the firm’s policies and procedures, Code of Ethics, and/or operational/compliance programs
Marketing Review Compliance
The SEC’s new Marketing Rule replaces the existing advertising and cash solicitation rules. Cedar Mountain Consulting can assist clients in conducting training on the new Marketing Rule and provide guidance to your team.
We can assist you in reviewing all types of marketing materials in accordance with the New Marketing Rule.
We also provide marketing review services as part of our comprehensive package of services or as a service of its own.
We can assist you in reviewing all types of marketing materials in accordance with the New Marketing Rule.
We also provide marketing review services as part of our comprehensive package of services or as a service of its own.