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10 Things To Know About Adherence

  1. Compliance isn’t hard – it’s just detailed. We ARE compliance rocket scientists but part of our strength lies in our ability to make sure every “T” is crossed and every “I” is dotted.
  2. We don’t care what technology solution you have – we work with all of them. We aren’t a tech firm. We believe that at the end of the day, compliance, legal and operations counsel still requires a human. No technology solution will eliminate a firm’s need for that human to do the work.
  3. Compliance, legal and operational costs should NOT be crushing your profit line. Our business model has figured out how to keep our people efficient and our costs low so we don’t have to gouge you. Our fees are primarily based on how long a task takes to do.
  4. Eventually you WILL be examined by a regulator. And you don’t want to be there alone. The SEC, the NFA, the CFTC and FINRA are stepping up their examined. If you’ve dodged a bullet so far, you might not be that lucky in the foreseeable future. Especially if you are a “double hatted” COO/CCO or CFO/CCO, winging it without a compliance guru by your side, could result in findings that hamper your firm’s ability to grow.
  5. You need a robust compliance program to attract investors. Most ODD (operational due diligence) done by “big” investors want to see a robust compliance program – not just the manual that your law firm or compliance advisor gave you when you formed.
  6. The definition of compliance, legal and operations work is a very blurry line. And there are a lot of overpriced and underskilled firms out there touting their size and/or name as why you should hire them. We think that’s old school.   We think compliance, legal and operations should work for YOU – and not the other way around.
  7. Your emergencies will never occur at midday in the middle of the week – they will likely occur when NO ONE is handy. At 6pm on a Friday. Which is why we make sure there is ALWAYS a senior Adherence available for the crisis.
  8. Our network of contacts will be put to use to help you find answers from the regulators and law firms; services you need from service providers; and people to build your teams.
  9. We don’t just tell you what to do, WE DO IT FOR YOU.
  10. We can do as much or as little as you want. You get to pick how much you want us to do.

LEARN ABOUT US

Management Bios

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Adherence Expertise

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10 Things to Know About Adherence

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Adherence Compliance Group +1-917-885-2596
220 W. 93rd Street, #8C New York NY 10025