You will be examined. Will you be ready?
When the regulator calls, you want your firm to shine.
Sapphire makes your compliance program efficient, effective and ready to withstand scrutiny.
Sapphire makes your compliance program efficient, effective and ready to withstand scrutiny.
REVIEWSWith Annual Compliance Reviews, Risk Assessments, and Mock Regulatory Examinations, we analyze your compliance program for flaws and cracks. Then, we get them repaired.
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DOCUMENTATIONWe draft the documents that run your compliance program – Code of Ethics, Policies and Procedures and Business Continuity Plans. This means more than inserting your name into a template.
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REGISTRATIONReady to open your doors? ? We assist new firms get registered at the state or SEC level.
Want to keep the doors open? We will review and revise your regulatory filings to ensure they meet current requirements. |
Services
As consultants to your firm, we adapt and respond to your needs.
Our multi-pronged approach gives you the support required to provide peace of mind. |
Our expertise covers the following areas:
- Annual Compliance Review – develop process and conduct review
- Business Continuity/Disaster Plan – develop, draft, train staff, and test
- Code of Ethics – draft, revise, train staff, and test
- Examination Support and Responses – preparation, guidance, and drafting
- Identity Theft Prevention Program – develop, draft, and test
- Mock SEC Exam – provide materials and conduct
- Policies and Procedures – draft, revise, and train staff
- Reviews – marketing/advertising materials, due diligence and business practices
- Registration – SEC and state registration for firm and representatives
- Regulatory Filings – initial, annual amendments, and other than annual amendments
- Risk Assessment – develop process and conduct assessment
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