Customized Compliance Support to Meet Your Needs
Cloudbreak’s seasoned compliance experts take a hands-on approach to developing and continually enhancing your compliance program. We solve complex compliance issues at every critical stage of your business. Our services are customized to meet each client's individual needs, while taking into account relevant regulatory requirements.
While each engagement is unique, we find that most clients take advantage of the following core services:
- SEC Registration / Exempt Reporting Advisor (ERA) filings
- Customized Compliance Program Development
- Checklists to Track Compliance Responsibilities
- Regular On-site Compliance Meetings
- Annual Compliance Reviews
- Annual and New Hire Employee Compliance Training
- Employee E-mail Review
- Form ADV Amendments
- Industry Updates and Analysis of New Regulatory Developments
- Ad Hoc Regulatory Guidance
We can also provide the following additional services:
- Mock Audits and Compliance Reviews
- Form PF and Other Regulatory Filings
- Regulatory Examination Support
- Targeted Marketing Material Reviews
- Onboarding and Implementation of Third-Party Compliance Software
- Targeted Compliance Testing
- Compliance-Related Vendor Diligence
- CFTC/NFA-related obligations
