Century Compliance assists financial services providers with the complex issues that arise in the course of their business, including compliance with federal and state laws and rules. We can help with everything from organizing and forming your business entity and governing documents, to constructing a compliance framework including written supervisory procedures, to preparing for audits and defending enforcement actions. We offer a team approach and attentive, personal hands-on client service.
Varying plans that are adaptable to meet your firm's needs.
We participate with your CCO and firm executives to provide guidance necessary to complete and document an effective annual compliance review as required by Rule 206(4)-7 or similar state laws.
Phishing simulations emails are sent to your employees with mandatory training for employees who click and additional training at your firm's discretion.
We can review your policies, procedures, practices, and records, and provide you with a written confidential report of our recommendations. This can be conducted remotely or on-site as you prefer.
Many advisers need new policies or procedures drafted based on the specific risks of their firm or new development or firm initiatives. We can draft and help you implement these or consult with you to determine if revisions to your current procedures are necessary.
We can help you navigate the complex world of registration of investment advisers and associated investment adviser representatives.
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2302 Parklake Drive Northeast, Suite 420, Atlanta, Georgia 30345, United States
