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Our Services
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| Fixed Fee FilingsSM |
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Regulators such as the Securities and Exchange Commission and state securities commissioners require that investment advisers and the funds they manage make certain filings to comply with various federal and state securities laws. To assist investment advisers and their funds with completing and submitting filings promptly and accurately, Armor Compliance now offers Fixed Fee FilingsSM.
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| Massachusetts Registration |
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| Connecticut Registration |
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| New York Registration |
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| Mock Audits |
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Armor Compliance offers investment advisers mock audit services that simulate an actual examination by the SEC or state regulator. During this process, Armor sends the firm an actual document request from the applicable regulator. Armor's experienced professionals then evaluate the firm’s documents in response, identifying areas of non-compliance and providing solutions to resolve any deficiencies. This process allows firms to detect and fix compliance issues before they are discovered during a real audit.
Unlike many compliance consultants, Armor Compliance is a law firm and offers attorney-conducted mock audits to ensure attorney-client privilege. This structure protects any written work product generated during this process from regulators. Such confidentiality allows Armor to focus on identifying compliance deficiencies and resolving such issues for its clients in the best manner possible.
Below is a link to a Wall Street Journal article that discusses some of these risks with respect to mock audits:
http://financialadviserblog.dowjones.com/blog/stay-ahead-of-your-clients/mock-audits-raise-disclosure-concerns
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