At Simon Compliance, each of our clients receives a customized compliance program designed by a former SEC enforcement attorney who knows what it takes to comply with the ever-changing laws and regulations.  As a boutique securities compliance firm, we provide personal attention, tailoring each engagement and offering the option of hourly, project or retainer pricing.  Our basic services include registration with the SEC, creation or revision of policies and procedures, assistance with regulatory filing obligations including Form ADV and Form PF, annual reviews, creation of a forensic testing program, compliance training and other services specific to your needs.  

With backgrounds in both the legal and financial fields, the Simon Compliance team brings a practical market perspective to compliance.  We understand the commercial component to your business and know how to assess and manage your risks.  Using our expertise and a collaborative approach, we create your compliance solution, offering carefully considered advice and accessible, responsive service at every step along the way.  Working together, we keep your business compliant now and in the future.

Simon Compliance LLC

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