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ICC (Independent Compliance Consultant Services)

Regulators and firms involved in enforcement proceedings often rely on us to serve as the independent compliance consultant approved to assist with oversight and remediation. From time to time, firms may be required by regulators to hire an Independent Compliance Consultant to review and test policies and procedures and to make recommendations to improve their compliance program or to perform annual reviews of the firm.

SEC Compliance Consultants provides Independent Compliance Consultant (“ICC”) services to firms to address SEC enforcement proceeding ICC mandates. As ex-regulators, we have great working relationships with the staff and we work to help firms through this process with the least amount of struggle as possible. We manage regulatory requirements and suggest sensible operational solutions to address areas of regulatory concern. We know what the regulators expect and how to address the concerns with sensible solutions that improve your overall business operations.