Compliance Advisor Professionals, LLC (CAP) is dedicated to understanding and meeting the compliance needs of each client in an efficient, thorough, and cost-effective manner. CAP crafts customized compliance support solutions, analyzing each investm…
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Compliance Advisor Professionals, LLC (CAP) partners with firms planning to register as an investment advisor with the United States Securities and Exchange Commission (SEC) or with state securities regulators. The regulator with which an investment…
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Investment advisory firms are regulated by the Securities and Exchange Commission (SEC) or state regulatory bodies, depending on the amount of assets under management. Filings with these regulatory bodies are a direct extension of advisors’ fiducia…
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Every firm that is regulated by the Securities and Exchange Commission (SEC) encounters the “Risk-Based Examination Program.” Investment advisory firms are generally subject to examination every two to three years. An examination is usually not a…
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