About Us

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.

Our Services

RIA Compliance Plans

Varying plans that are adaptable to meet your firm's needs.

Annual Review of Compliance Procedures

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 Testing & Cyber Security Training

Phishing simulations emails are sent to your employees with mandatory training for employees who click and additional training at your firm's discretion.

Mock Audits

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.

Policies and Procedures

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.

State or SEC Registered Investment Adviser Registrations

We can help you navigate the complex world of registration of investment advisers and associated investment adviser representatives.

Events

To register for one of the events below, please visit events.ParkMac.com

10/03/2019

Atlanta - New Form ADV Part 3 (CRS) and Fiduciary Duty Seminar 2019

9am - 4pm

2987 Clairmont Road, Suite 100, Atlanta, GA 30329

+ Event Details

10/03/2019

Atlanta - New Form ADV Part 3 (CRS) and Fiduciary Duty Seminar 2019

9am - 4pm

2987 Clairmont Road, Suite 100, Atlanta, GA 30329

10/09/2019

Charlotte - New Form ADV Part 3 (CRS) and Fiduciary Duty Seminar 2019

9am - 4pm

Hilton Charlotte Center City, 222 East 3rd St, Charlotte, NC 28202

+ Event Details

10/09/2019

Charlotte - New Form ADV Part 3 (CRS) and Fiduciary Duty Seminar 2019

9am - 4pm

Hilton Charlotte Center City, 222 East 3rd St, Charlotte, NC 28202

Contact Us

Century Compliance

2987 Clairmont Road, Suite 200, Atlanta, Georgia 30329, United States

(678) 902 4060

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