Complyport’s US Desk provides local hands-on assistance to clients on US regulatory issues.  As part of our London office, the US Desk deals with US regulatory and compliance matters that affect firms with US compliance and regulatory obligations or firms seeking to do business in the United States.  Our US Desk works in partnership with Complyport’s US associate firm to provide London-based personal support and US jurisdictional expertise.

With firms becoming increasingly global and regulators working together in a more joined-up way, it has become increasingly important for organisations to adopt and implement robust compliance frameworks across the full spectrum of their financial services businesses, wherever they are in the world.

The US Desk will work alongside the International Desk that currently deals with and co-ordinates Complyport’s non-US cross-border and international regulatory and compliance consultancy services.

As part of our US regulatory service, Complyport can:

  • Proactively monitor and assesses US regulatory and relevant US industry developments
  • Develop manuals and monitoring programmes in conjunction with our UK technical team to ensure that Complyport’s clients remain compliant with US requirements as well as FCA and EU rules
  • Issue frequent US bulletins and regulatory alerts
  • Carry out compliance monitoring and annual review work, both on-site and off-site, on US requirements
  • Conduct reviews of marketing and advertising materials
  • Manage SEC/FINRA registration projects, such as:
    • US Securities and Exchange Commission application (SEC) as Investment Adviser or Exempt Reporting Adviser
    • Annual filing of Form ADV; Other-than-Annual amendment of Form ADV support.
    • Preparation, updating and maintenance of regulatory filings such as: Form PF, CPO-PQR, CTA-PR, etc
  • Provide training on US regulatory issues to UK and EU based clients.

To find out more about how we can assist you with your US compliance requirements, please contact your account manager for more information.