Your firm runs lean. Whoever wears the CCO hat wears it on top of a day job, and nobody on staff owns the tech side of your Reg S-P and Marketing Rule programs. That's the job I do, so the firm you built stays yours to run.
You didn't start a firm to manage a vendor file. But the consultant wrote the policy and nobody's running it. Your vendor list is in someone's head. MFA is on for the people who turned it on. The incident response plan names a laptop you replaced last year.
And the SEC has said Reg S-P is an exam priority. When the document request comes, you're the one who has to answer it with evidence, not a PDF.
That's hours you owe your clients, spent proving things you were never given the tools to prove.
The Plan
Thirty minutes about your firm and your setup. You ask whatever you want. No pitch deck.
A fixed-fee review of your actual tech against your written program, so you know exactly where you stand.
The tech side of your compliance program gets done, stays done, and stays provable. You stop thinking about it.
Reg S-P Reality Check
A fixed-fee review of what your firm actually does, held up against your written Reg S-P program and your Marketing Rule obligations. You get a short written report: what an examiner would flag, and what to fix first.
$1,500, one time. Credited toward the retainer if you sign within 30 days.
About the Reality Check →Compliance Tech Retainer
The tech side of your program, run for you month after month. Vendor oversight, security basics, incident response, Marketing Rule archiving, and a person who sits in when the exam comes.
$2,500 a month. Capped at ten firms.
About the retainer →Projects
Migrations, CRM automation, website rebuilds. Retainer clients get project work at a reduced rate.
Who's Behind This
You shouldn't need a Fortune 500 tech department to survive an SEC exam. Most firms your size are held together by a few overworked people and hope.
I'm Dustin Cole, a US Marine veteran. Thirteen years at Parametric Portfolio Associates, as a QA engineer and QA manager on platforms managing over $600 billion. I've spent a career proving that regulated systems do what they claim, and that's exactly what an exam asks of your firm.
A Straight Answer
You have staff for this, or you should. My work is built for firms of two to fifteen people, where whoever wears the CCO hat also has a day job.
I'm not a compliance consultant and not a law firm. I don't write your policies. I make sure what your policies say is actually true.
I keep your website compliant, archived, and running. I don't do campaigns, branding, or ads.
Thirty minutes. I ask about your setup. You ask whatever you want. No pitch deck.
Book a call