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With a keen eye on the ever-changing compliance landscape, Simon Compliance keeps your business covered.
At simon compliance, we know that no two businesses are alike. That’s why 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.
Our specialty is partnering with private equity funds, real estate funds, venture capital funds and fund of funds. We bring a high level of understanding to your business and then dig deeper to know even more. By working closely together with you and your team, we help you meet your compliance needs.
Making time for compliance is critical, but we know it’s not always top of mind for businesses. That’s why Simon Compliance keeps you on a schedule, according to the customized compliance program we create. We help train and educate your team on what needs to be done to be compliant. Then we check in regularly to ensure you are continuously testing and monitoring your program and that no deadlines are being missed.
In short, we focus in on your compliance needs so that you can focus on your business.
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 customized compliance solution, offering carefully considered advice and accessible, responsive service at every step along the way.
Lindsey Simon founded Simon Compliance in 2010 after serving as both a chief compliance officer and an SEC enforcement attorney. Backed by a supportive team, the Simon Compliance professionals know compliance from all angles because they have decades of hands-on experience.
The trust and confidence of your investors are reliant on a strong culture of compliance. At simon compliance, we understand and are always watching out for you. 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, marketing material review, compliance training and other services specific to your needs.
We also offer specific project-based services, such as fee and expense testing, side letter testing and review of performance calculations. Finally, we offer bespoke projects designed to meet the changing regulatory landscape, such as assistance with compliance with the sec marketing rule and private fund adviser rule. For select clients, we assist in an outsourced capacity in cco, deputy cco, cfo and controller roles. Working together, we keep your business compliant now and in the future.