SEC Compliance Services

We work together with our clients to venture beyond what’s been done before in compliance. We strategize, design and execute compliance and risk programs for today’s leading and most innovative investment managers.

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Get Support from Former Examiners
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Spot Red Flags
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Give LPs the
Diligence They Expect

Strategic Compliance

In addition to routine compliance program support, we provide strategic support for new services, corporate initiatives, and other business changes to support our clients as they grow.

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SEC Compliance

Telephone and Email Consulting

Annual Compliance Program Reviews

Mock SEC Examinations

Gap Analysis Reviews

Marketing Material Reviews

SEC Examination Support

Compliance Program Testing

Tailored Compliance Manuals

Cybersecurity Policies and Procedures

Compliance Training

SEC Registration

Regulatory Filings

ESG Policies and Procedures

CCO Support

E-Communications Surveillance

Code of Ethics Administration

RegTech Support

Policies and Procedures Testing

Social Media Reviews

Negative News/Internet Searches

Political Contributions Testing

Expert Network Call Chaperoning

Vendor Due Diligence

Marketing Material Reviews

AML Training and Testing

Government Sanction List Screening

Trusted by Top Investment Firms Nationwide

Our leadership team counts on HighCamp as our trusted advisor. They’ve done their diligence to get to know us and continue to add tremendous value to our business.

Chief Operating Officer
Real Estate Fund, $3B AUM
New York, NY

We should have switched to HighCamp sooner. Their experience and quality of service sets them apart. We also really enjoy working with our energetic HighCamp team.

Chief Compliance Officer
Real Estate Fund, $4B AUM
Los Angeles, CA

Thanks to HighCamp, we were very well prepared for our SEC exam, and were extremely pleased with the results.

Chief Financial Officer
Private Equity Fund Manager, $1B AUM
Denver, CO

Versed in
Tech Platforms

Unlike other compliance consulting firms, we don’t have any strategic relationships with other technology providers. This allows our consultants to provide unbiased support and recommendations to help find the best service provider for you. We’ll never sell you software that you don’t need to meet our sales quotas.

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Your information
is safe with us.

Confidentiality and information security is critical to our business. Rest assured that we practice what we preach – we maintain a rigorous security regime and stay up to date on cybersecurity practices.

We help keep you SEC compliant.

The regulatory landscape continues to rapidly evolve. We’re here to help you stay a step ahead.

Confident compliance officer

Ready to speak with a compliance advisor?

Speak with a HighCamp Advisor