Our goal is to provide a 'painless' solution to our clients' compliance needs. We do this by working with them personally and closely as a partner to ensure all their needs are met, questions answered and regulatory requirements fulfilled.
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Spring, TX (Vocus) November 3, 2010
IA Compliance & Consulting LLC has been launched to serve the growing compliance and regulatory needs of investment advisors, hedge fund and private equity fund managers. The full-service firm will specialize in registration at the SEC and state levels with a full complement of associated services.
The firm provides the following services:
•Investment Advisor Registration
•Web IARD/CRD Administration
•Business Continuity Plans
•Form ADV documents
•Code of Ethics
•State Registration Applications
•General Compliance Consulting
•Form 13F Filings
The firm will also assist with operational issues, compliance exams, compliance training, recordkeeping and provide general consulting solutions that meet the evolving regulatory compliance needs of clients.
Founders of the targeted consulting firm are Suzette Surman and Karen Haggerty with almost 40 years of combined industry compliance service. During their careers, they have assisted firms in complying with various industry rules and regulations at both the SEC and state levels. Ms. Surman's experience includes over twenty five years in the compliance industry. She was previously with MGL Consulting Corporation and Daniel Breen & Company, LP. Ms. Haggerty's experience includes over nine years in the compliance industry. She was previously with MGL Consulting Corporation, Woodforest National Bank and Bank One.
According to Suzette Surman, “Our goal is to provide a 'painless' solution to our clients' compliance needs. We do this by working with them personally and closely as a partner to ensure all their needs are met, questions answered and regulatory requirements fulfilled.“
To do this, IA Compliance and Consulting identifies the unique registration requirements for each client, provides insight into the changing regulatory environment, and delivers practical solutions to the firm on a timely, responsive basis.
For more information, please visit IA Compliance & Consulting LLC or contact us at 832-559-8171.