{"id":10035,"date":"2023-06-28T07:50:43","date_gmt":"2023-06-28T07:50:43","guid":{"rendered":"https:\/\/iqeq.com\/?post_type=service&#038;p=10035"},"modified":"2024-04-03T12:47:08","modified_gmt":"2024-04-03T12:47:08","slug":"compliance-consulting-u-s","status":"publish","type":"service","link":"https:\/\/iqeq.com\/services\/compliance-consulting-u-s\/","title":{"rendered":"Compliance consulting U.S."},"content":{"rendered":"<section class=\"sidebar-anchor\">\n    <div class=\"container\">\n                    <p\n                class=\"pre-header pre-header--purple\"\n                id=\"overview\"\n            >\n                Overview            <\/p>\n            <\/div>\n<\/section>\n\n<section class=\"text-block standard-spacing  \">\n    <div class=\"container fade-in\">\n        <p>IQ-EQ\u2019s U.S. Regulatory Compliance offering takes ownership of an investment manager\u2019s compliance program and functions as an extension of your compliance staff for the investment manager.<\/p>\n<p>Our team handles all U.S. regulatory requirements of the SEC, NFA\/CFTC, \u201840 Act and FINRA.\u00a0 As part of our ongoing regulatory compliance services, our clients have access to our staff whenever needed to provide practical, business friendly advice. IQ-EQ performs a myriad on ongoing consulting services including quarterly review and testing of the compliance program, policy drafting, employee training, marketing material review, as well as regulatory examination support.<\/p>\n<p>We also can work on a discreet project basis, whether it be for a mock regulatory examination or forensic testing. In addition, to ensure compliance with your Code of Ethics requirements our proprietary software, <a href=\"https:\/\/iqeq.com\/services\/gvue\/\">gVue<\/a>, automates and retains all code of ethics items and compliance policies.<\/p>\n            <\/div>\n<\/section>\n\n<section class=\"sidebar-anchor\">\n    <div class=\"container\">\n                    <h2 id=\"key-services\">Key services<\/h2>\n            <\/div>\n<\/section>\n\n<section class=\"text-block standard-spacing  \">\n    <div class=\"container fade-in\">\n        <p>Our U.S. compliance and regulatory consulting solutions include:<\/p>\n<h3>Project-based engagements<\/h3>\n<ul>\n<li>Investment adviser registration<\/li>\n<li>Exempt reporting adviser services<\/li>\n<li>CFTC registration and NFA membership<\/li>\n<li>Broker-deal registration<\/li>\n<li>Compliance policies and procedures<\/li>\n<li>Regulatory examination support \/ mock examinations<\/li>\n<li>Gap analyses<\/li>\n<\/ul>\n<h3>Ongoing compliance support<\/h3>\n<ul>\n<li>Ad hoc consultation and advice<\/li>\n<li>Implementation of compliance calendar<\/li>\n<li>Regulatory filings (Advisers Act, Exchange Act, Investment Company Act, CFTC\/NFA)<\/li>\n<li>Annual compliance reviews<\/li>\n<li>Monthly and\/or quarterly compliance testing<\/li>\n<li>Targeted forensic testing<\/li>\n<li>Staff compliance training<\/li>\n<li>Maintenance of policies and procedures<\/li>\n<li>Drafting of forms, templates and other practice management tools<\/li>\n<li>Electronic, expert network and buy-side communications surveillance<\/li>\n<li>Marketing and advertising reviews<\/li>\n<li>Code of ethics administration<\/li>\n<li>Investor due diligence support<\/li>\n<\/ul>\n<p>&nbsp;<\/p>\n<p>Contact us today to learn more about our compliance consulting support for U.S. investment managers:<\/p>\n<p style=\"text-align: left\"><a class=\"btn btn--mint\" href=\"https:\/\/iqeq.com\/make-an-enquiry\/\" target=\"_blank\" rel=\"noopener\">Make an Inquiry<\/a><\/p>\n            <\/div>\n<\/section>\n\n<section class=\"testimonial-box standard-spacing\">\n    <div class=\"container\">\n        <div class=\"box\">\n            <blockquote class=\"style2 fade-in\">\n                <span>IQ-EQ is the best firm for our needs, they do a good job and they are cost effective for what they do.\r\n\r\n\r\n<\/span>\n                <cite>\n                    <span>Michael Savinelli<\/span>\n                    Vice President, Chief Tax Officer &amp; Treasurer, ITT Inc                <\/cite>\n            <\/blockquote>\n        <\/div>\n            <\/div>\n<\/section>\n\n<section class=\"sidebar-anchor\">\n    <div class=\"container\">\n                    <p\n                class=\"pre-header pre-header--purple\"\n                id=\"faq\"\n            >\n                FAQ            <\/p>\n            <\/div>\n<\/section>\n\n<section class=\"text-block standard-spacing  \">\n    <div class=\"container fade-in\">\n        <h2>Compliance consulting FAQs<\/h2>\n<p>&nbsp;<\/p>\n                    <div class=\"table\">\n                                    <div class=\"row\">\n                        <div class=\"col\">\n                            What does compliance consulting involve?                         <\/div>\n                        <div class=\"col\">\n                            <p>Compliance consulting is a service that helps businesses ensure they are following relevant laws and regulations. This can involve reviewing and updating policies and procedures, conducting risk assessments, and providing training for employees. Compliance consultants also help businesses stay up to date on new regulations and potential risks.<\/p>\n                        <\/div>\n                    <\/div>\n                                    <div class=\"row\">\n                        <div class=\"col\">\n                            What can a regulatory compliance consulting firm like IQ-EQ do for me?                        <\/div>\n                        <div class=\"col\">\n                            <p>At IQ-EQ, we offer an intelligent compliance consulting service that generates industry-rated compliance documentation. Our team of experts can help businesses navigate complex regulations and develop effective compliance strategies. <\/p>\n                        <\/div>\n                    <\/div>\n                            <\/div>\n            <\/div>\n<\/section>\n\n<section class=\"sidebar-anchor\">\n    <div class=\"container\">\n                    <h2 id=\"key-contacts\">Key contacts<\/h2>\n            <\/div>\n<\/section>\n\n<section class=\"related-section related-section--people related-section--centered standard-spacing\">\n    <div class=\"container\">\n                <div class=\"cards row-load\">\n            <div class=\"person-card\">\n            <div class=\"bg-img lozad normal\">\n            <img width=\"290\" height=\"192\" class=\"attachment-person_card size-person_card lozad\" alt=\"\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/04\/Steven-Graham-Formal-Grey-290x192.jpg\" \/>        <\/div>\n        <div class=\"bg-img lozad hover\">\n            <img width=\"290\" height=\"192\" class=\"attachment-person_card size-person_card lozad\" alt=\"\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/04\/Steven-Graham-informal-Green-290x192.jpg\" \/>        <\/div>\n        <div class=\"info\">\n                    <h3>Steven Graham<\/h3>\n                <p class=\"job-title\">Chair, Regulatory Compliance Services, U.S.<\/p>\n        <div class=\"border\"><\/div>\n                    <p class=\"location\">United States<\/p>\n                <a href=\"#contact-person\" class=\"link link--deepgray email\">\n            Send email        <\/a>\n                    <a href=\"tel:+14696468383\" class=\"link telephone\">\n                +1 469 646 8383            <\/a>\n                                    <div class=\"socials\">\n                <a href=\"https:\/\/www.linkedin.com\/in\/stevenjamesgraham\/\" class=\"linkedin\">\n                    <span class=\"screen-reader-text\">LinkedIn<\/span>\n                <\/a>\n            <\/div>\n            <\/div>\n<\/div><div class=\"person-card\">\n            <div class=\"bg-img lozad normal\">\n            <img width=\"290\" height=\"192\" class=\"attachment-person_card size-person_card lozad\" alt=\"\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/04\/Kathy-Malone-Formal-Grey-290x192.png\" \/>        <\/div>\n        <div class=\"bg-img lozad hover\">\n            <img width=\"290\" height=\"192\" class=\"attachment-person_card size-person_card lozad\" alt=\"\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/04\/Kathy-Malone-informal-Green-290x192.png\" \/>        <\/div>\n        <div class=\"info\">\n                    <h3>Kathy Malone<\/h3>\n                <p class=\"job-title\">Head of Compliance and Regulatory Services, U.S.<\/p>\n        <div class=\"border\"><\/div>\n                    <p class=\"location\">United States<\/p>\n                <a href=\"#contact-person\" class=\"link link--deepgray email\">\n            Send email        <\/a>\n                    <a href=\"tel:+16177840486\" class=\"link telephone\">\n                +1 617 784 0486            <\/a>\n                                    <div class=\"socials\">\n                <a href=\"https:\/\/www.linkedin.com\/in\/kathy-malone-4819727\/\" class=\"linkedin\">\n                    <span class=\"screen-reader-text\">LinkedIn<\/span>\n                <\/a>\n            <\/div>\n            <\/div>\n<\/div><div class=\"person-card\">\n            <div class=\"bg-img lozad normal\">\n            <img width=\"290\" height=\"192\" class=\"attachment-person_card size-person_card lozad\" alt=\"\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/04\/Sean-Wilke-Formal-Grey_0-290x192.png\" \/>        <\/div>\n        <div class=\"bg-img lozad hover\">\n            <img width=\"290\" height=\"192\" class=\"attachment-person_card size-person_card lozad\" alt=\"\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/04\/Sean-Wilke-Informal-Green-290x192.png\" \/>        <\/div>\n        <div class=\"info\">\n                    <h3>Sean Wilke<\/h3>\n                <p class=\"job-title\">Senior Managing Director, Head of Growth Strategy<\/p>\n        <div class=\"border\"><\/div>\n                    <p class=\"location\">United States<\/p>\n                <a href=\"#contact-person\" class=\"link link--deepgray email\">\n            Send email        <\/a>\n                    <a href=\"tel:+16464534298\" class=\"link telephone\">\n                +1 646 453 4298            <\/a>\n                                    <div class=\"socials\">\n                <a href=\"https:\/\/www.linkedin.com\/in\/seanrwilke\/\" class=\"linkedin\">\n                    <span class=\"screen-reader-text\">LinkedIn<\/span>\n                <\/a>\n            <\/div>\n            <\/div>\n<\/div>        <\/div>\n        <div class=\"button-wrapper\">\n                    <\/div>\n    <\/div>\n<\/section>\n\n<section class=\"sidebar-anchor\">\n    <div class=\"container\">\n                    <p\n                class=\"pre-header pre-header--purple\"\n                id=\"insights\"\n            >\n                Insights            <\/p>\n            <\/div>\n<\/section>\n\n<section class=\"related-section related-section--insights standard-spacing\">\n    <div class=\"container\">\n                <div class=\"cards row-load\">\n            <a\n    href=\"https:\/\/iqeq.com\/insights\/a-summary-of-the-2024-finra-annual-regulatory-oversight-report\/\"\n    class=\"news-card\"\n>\n    <div class=\"bg-img lozad\">\n        <img width=\"360\" height=\"257\" class=\"attachment-news_card size-news_card lozad\" alt=\"\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2024\/03\/shutterstock_1044937804-360x257.jpg\" \/>        <div class=\"post-type post\">\n            Insight        <\/div>\n    <\/div>\n    <div class=\"info\">\n                <div class=\"top\">\n                            <p class=\"expertise\">Regulatory Compliance<\/p>\n                        <h3>A summary of the 2024 FINRA Annual Regulatory Oversight Report<\/h3>\n        <\/div>\n        <div class=\"bottom\">\n                        <p class=\"date\">\n                                    27 Mar 2024                                            <\/p>\n        <\/div>\n    <\/div>\n<\/a><a\n    href=\"https:\/\/iqeq.com\/insights\/sec-and-cftc-adopt-form-pf-amendments\/\"\n    class=\"news-card\"\n>\n    <div class=\"bg-img lozad\">\n        <img width=\"360\" height=\"257\" class=\"attachment-news_card size-news_card lozad\" alt=\"\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2024\/03\/shutterstock_92106644-360x257.jpg\" \/>        <div class=\"post-type post\">\n            Insight        <\/div>\n    <\/div>\n    <div class=\"info\">\n                <div class=\"top\">\n                            <p class=\"expertise\">Regulatory Compliance<\/p>\n                        <h3>SEC and CFTC adopt Form PF amendments<\/h3>\n        <\/div>\n        <div class=\"bottom\">\n                        <p class=\"date\">\n                                    26 Mar 2024                                            <\/p>\n        <\/div>\n    <\/div>\n<\/a><a\n    href=\"https:\/\/iqeq.com\/insights\/the-secs-2024-examination-priorities-impacts-for-investment-advisers\/\"\n    class=\"news-card\"\n>\n    <div class=\"bg-img lozad\">\n        <img width=\"360\" height=\"257\" class=\"attachment-news_card size-news_card lozad\" alt=\"Washington DC metro\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/12\/chris-grafton-mRxHNzxeYt8-unsplash-360x257.jpg\" \/>        <div class=\"post-type post\">\n            Insight        <\/div>\n    <\/div>\n    <div class=\"info\">\n                <div class=\"top\">\n                            <p class=\"expertise\">Regulatory Compliance<\/p>\n                        <h3>The SEC\u2019s 2024 examination priorities: impacts for investment advisers<\/h3>\n        <\/div>\n        <div class=\"bottom\">\n                        <p class=\"date\">\n                                    02 Jan 2024                                            <\/p>\n        <\/div>\n    <\/div>\n<\/a><a\n    href=\"https:\/\/iqeq.com\/insights\/u-s-private-fund-reforms-impact-on-the-cfo-cco-role\/\"\n    class=\"news-card\"\n>\n    <div class=\"bg-img lozad\">\n        <img width=\"360\" height=\"257\" class=\"attachment-news_card size-news_card lozad\" alt=\"\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/11\/shutterstock_1516274822-360x257.jpg\" \/>        <div class=\"post-type post\">\n            Insight        <\/div>\n    <\/div>\n    <div class=\"info\">\n                <div class=\"top\">\n                            <p class=\"expertise\">Fund &amp; Asset Managers<\/p>\n                        <h3>U.S. private fund reforms: impact on the CFO\/CCO role<\/h3>\n        <\/div>\n        <div class=\"bottom\">\n                        <p class=\"date\">\n                                    20 Nov 2023                                            <\/p>\n        <\/div>\n    <\/div>\n<\/a><a\n    href=\"https:\/\/iqeq.com\/insights\/u-s-sec-adopts-private-fund-reforms\/\"\n    class=\"news-card\"\n>\n    <div class=\"bg-img lozad\">\n        <img width=\"360\" height=\"257\" class=\"attachment-news_card size-news_card lozad\" alt=\"\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/09\/shutterstock_2187267093-v2-360x257.jpg\" \/>        <div class=\"post-type post\">\n            Insight        <\/div>\n    <\/div>\n    <div class=\"info\">\n                <div class=\"top\">\n                            <p class=\"expertise\">Regulatory Compliance<\/p>\n                        <h3>U.S. SEC adopts private fund reforms<\/h3>\n        <\/div>\n        <div class=\"bottom\">\n                        <p class=\"date\">\n                                    06 Sep 2023                                            <\/p>\n        <\/div>\n    <\/div>\n<\/a><a\n    href=\"https:\/\/iqeq.com\/insights\/latest-round-of-sec-and-cftc-e-comms-enforcement-what-you-need-to-know\/\"\n    class=\"news-card\"\n>\n    <div class=\"bg-img lozad\">\n        <img width=\"360\" height=\"257\" class=\"attachment-news_card size-news_card lozad\" alt=\"Messages on a phone\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/08\/shutterstock_1993542584-360x257.jpg\" \/>        <div class=\"post-type post\">\n            Insight        <\/div>\n    <\/div>\n    <div class=\"info\">\n                <div class=\"top\">\n                            <p class=\"expertise\">Regulatory Compliance<\/p>\n                        <h3>Latest round of SEC and CFTC e-comms enforcement: what you need to know<\/h3>\n        <\/div>\n        <div class=\"bottom\">\n                        <p class=\"date\">\n                                    29 Aug 2023                                            <\/p>\n        <\/div>\n    <\/div>\n<\/a><a\n    href=\"https:\/\/iqeq.com\/insights\/sec-to-explore-rules-governing-brokers-use-of-ai\/\"\n    class=\"news-card\"\n>\n    <div class=\"bg-img lozad\">\n        <img width=\"360\" height=\"257\" class=\"attachment-news_card size-news_card lozad\" alt=\"Robot arm\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/06\/shutterstock_572982568-360x257.jpg\" \/>        <div class=\"post-type post\">\n            Insight        <\/div>\n    <\/div>\n    <div class=\"info\">\n                <div class=\"top\">\n                            <p class=\"expertise\">Regulatory Compliance<\/p>\n                        <h3>SEC to explore rules governing brokers\u2019 use of AI<\/h3>\n        <\/div>\n        <div class=\"bottom\">\n                            <p class=\"person\">By Sean Wilke<\/p>\n                        <p class=\"date\">\n                                    29 Jun 2023                                            <\/p>\n        <\/div>\n    <\/div>\n<\/a><a\n    href=\"https:\/\/iqeq.com\/insights\/t1-settlements-a-new-era-for-u-s-securities-transactions\/\"\n    class=\"news-card\"\n>\n    <div class=\"bg-img lozad\">\n        <img width=\"360\" height=\"257\" class=\"attachment-news_card size-news_card lozad\" alt=\"SEC building.\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/10\/shutterstock_1128744890-360x257.jpg\" \/>        <div class=\"post-type post\">\n            Insight        <\/div>\n    <\/div>\n    <div class=\"info\">\n                <div class=\"top\">\n                            <p class=\"expertise\">Regulatory Compliance<\/p>\n                        <h3>T+1 settlements: a new era for U.S. securities transactions<\/h3>\n        <\/div>\n        <div class=\"bottom\">\n                            <p class=\"person\">By Dan Miller<\/p>\n                        <p class=\"date\">\n                                    12 Oct 2023                                            <\/p>\n        <\/div>\n    <\/div>\n<\/a><a\n    href=\"https:\/\/iqeq.com\/insights\/u-s-private-fund-managers-new-proxy-voting-reporting-requirements\/\"\n    class=\"news-card\"\n>\n    <div class=\"bg-img lozad\">\n        <img width=\"360\" height=\"257\" class=\"attachment-news_card size-news_card lozad\" alt=\"Washington DC\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/05\/shutterstock_1929940727-1-360x257.jpg\" \/>        <div class=\"post-type post\">\n            Insight        <\/div>\n    <\/div>\n    <div class=\"info\">\n                <div class=\"top\">\n                            <p class=\"expertise\">Regulatory Compliance<\/p>\n                        <h3>U.S. private fund managers: new proxy voting reporting requirements<\/h3>\n        <\/div>\n        <div class=\"bottom\">\n                            <p class=\"person\">By Sean Wilke<\/p>\n                        <p class=\"date\">\n                                    18 May 2023                                                    <span> | <\/span>4 minute read                            <\/p>\n        <\/div>\n    <\/div>\n<\/a><a\n    href=\"https:\/\/iqeq.com\/insights\/amendments-to-enhance-private-fund-reporting-in-the-u-s\/\"\n    class=\"news-card\"\n>\n    <div class=\"bg-img lozad\">\n        <img width=\"360\" height=\"257\" class=\"attachment-news_card size-news_card lozad\" alt=\"Regulatory oversight\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/05\/patrick-robert-doyle-v7sFEJxnNsQ-unsplash-360x257.jpg\" \/>        <div class=\"post-type post\">\n            Insight        <\/div>\n    <\/div>\n    <div class=\"info\">\n                <div class=\"top\">\n                            <p class=\"expertise\">Regulatory Compliance<\/p>\n                        <h3>Amendments to enhance private fund reporting in the U.S.<\/h3>\n        <\/div>\n        <div class=\"bottom\">\n                        <p class=\"date\">\n                                    16 May 2023                                                    <span> | <\/span>3 minute read                            <\/p>\n        <\/div>\n    <\/div>\n<\/a><a\n    href=\"https:\/\/iqeq.com\/insights\/the-secs-proposed-safeguarding-rule-what-you-need-to-know\/\"\n    class=\"news-card\"\n>\n    <div class=\"bg-img lozad\">\n        <img width=\"360\" height=\"257\" class=\"attachment-news_card size-news_card lozad\" alt=\"Brooklyn Bridge\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/05\/colton-duke-UExx0KnnkjY-unsplash-360x257.jpg\" \/>        <div class=\"post-type post\">\n            Insight        <\/div>\n    <\/div>\n    <div class=\"info\">\n                <div class=\"top\">\n                            <p class=\"expertise\">Regulatory Compliance<\/p>\n                        <h3>The SEC\u2019s proposed Safeguarding Rule: What you need to know<\/h3>\n        <\/div>\n        <div class=\"bottom\">\n                        <p class=\"date\">\n                                    08 May 2023                                                    <span> | <\/span>12 minute read                            <\/p>\n        <\/div>\n    <\/div>\n<\/a><a\n    href=\"https:\/\/iqeq.com\/insights\/secs-2023-exam-priorities-what-advisers-need-know\/\"\n    class=\"news-card\"\n>\n    <div class=\"bg-img lozad\">\n        <img width=\"360\" height=\"257\" class=\"attachment-news_card size-news_card lozad\" alt=\"\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/04\/shutterstock_717727117-360x257.jpg\" \/>        <div class=\"post-type post\">\n            Insight        <\/div>\n    <\/div>\n    <div class=\"info\">\n                <div class=\"top\">\n                            <p class=\"expertise\">Fund &amp; Asset Managers<\/p>\n                        <h3>The SEC\u2019s 2023 exam priorities: what advisers need to know<\/h3>\n        <\/div>\n        <div class=\"bottom\">\n                        <p class=\"date\">\n                                    30 Mar 2023                                                    <span> | <\/span>6 minute read                            <\/p>\n        <\/div>\n    <\/div>\n<\/a><a\n    href=\"https:\/\/iqeq.com\/insights\/us-regulatory-lessons-learned-2022\/\"\n    class=\"news-card\"\n>\n    <div class=\"bg-img lozad\">\n        <img width=\"360\" height=\"257\" class=\"attachment-news_card size-news_card lozad\" alt=\"\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/04\/shutterstock_2226838211-360x257.jpg\" \/>        <div class=\"post-type post\">\n            Insight        <\/div>\n    <\/div>\n    <div class=\"info\">\n                <div class=\"top\">\n                            <p class=\"expertise\">Regulatory Compliance<\/p>\n                        <h3>U.S. regulatory lessons learned in 2022<\/h3>\n        <\/div>\n        <div class=\"bottom\">\n                        <p class=\"date\">\n                                    28 Mar 2023                                                    <span> | <\/span>7 minute read                            <\/p>\n        <\/div>\n    <\/div>\n<\/a><a\n    href=\"https:\/\/iqeq.com\/insights\/new-sec-rules-pertinent-investment-advisers\/\"\n    class=\"news-card\"\n>\n    <div class=\"bg-img lozad\">\n        <img width=\"360\" height=\"257\" class=\"attachment-news_card size-news_card lozad\" alt=\"\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/04\/Supreme-court-360x257.jpg\" \/>        <div class=\"post-type post\">\n            Insight        <\/div>\n    <\/div>\n    <div class=\"info\">\n                <div class=\"top\">\n                            <p class=\"expertise\">Regulatory Compliance<\/p>\n                        <h3>New SEC rules pertinent to investment advisers<\/h3>\n        <\/div>\n        <div class=\"bottom\">\n                        <p class=\"date\">\n                                    24 Mar 2023                                                    <span> | <\/span>5 minute read                            <\/p>\n        <\/div>\n    <\/div>\n<\/a>        <\/div>\n            <\/div>\n<\/section>","protected":false},"excerpt":{"rendered":"","protected":false},"featured_media":0,"parent":0,"menu_order":0,"template":"","expertise":[444],"service_category":[29],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v22.5 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Compliance consulting U.S. - IQ-EQ<\/title>\n<meta name=\"description\" content=\"Our U.S. compliance consulting team takes ownership of an investment manager\u2019s compliance program and functions as their compliance staff.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/iqeq.com\/services\/compliance-consulting-u-s\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta 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