Compliance

Conifer’s highly experienced compliance specialists offer a breadth and depth of compliance consulting that will give you and your investors comfort and confidence in knowing that all of your regulatory requirements are being professionally addressed.Your personal, on-call compliance advisor will keep you current on all state, federal, SEC, and NASD regulations that affect you and will coordinate with your firm’s counsel to ensure that thorough and efficient compliance processes are in place and adhered to.

With Conifer Compliance on your side, you will be compliant with all necessary regulatory filing requirements, including any necessary state or SEC registration. Other services include a customized code of ethics and compliance manual, employee trade surveillance, email and instant message retention, proxy voting and respective record-keeping. Finally, Conifer will manage all aspects of an examiner’s audit, including responding to discovery requests and fielding all regulatory inquiries and subsequent questionnaires.