Compliance Made Clear. Risk Made Manageable.
We help investment advisers and broker-dealers navigate compliance
and exams with a clear, streamlined approach.
OUR SERVICES
Practical Compliance Solutions for
Every Stage of Your Firm’s Journey
Practical Compliance Solutions for Every Stage of Your Firm’s Journey
We don’t believe in one-size-fits-all compliance. Our service models are built around your needs: whether that means hands-on, daily involvement or on-call strategic guidance.
Regulatory Compliance Advisory
We guide you through the complex requirements of SEC, FINRA, and state-level regulation. Services include:
- Preparing and filing Form ADV, Form BD, Form U4, and other disclosures
- Developing Written Supervisory Procedures (WSPs) and Codes of Ethics
- Annual compliance reviews and gap analyses
- Mock exams
- Ongoing regulatory updates and rule change alerts
Outsourced Chief Compliance Officer
When you need an experienced compliance leader without adding a full-time employee to your payroll, our outsourced CCO service offers:
- Acting as your designated CCO for all regulatory purposes
- Conducting scheduled compliance meetings with staff and leadership
- Reviewing advertising, marketing, and client communications for compliance
- Reviewing trade activity and employee personal trading
- Preparing and submitting certain regulatory filings and required reports
Cybersecurity and
Risk Management
Regulators are increasingly focused on data protection, operational resilience, and vendor risk. We can:
- Build Written Business Continuity and Disaster Recovery Programs
- Assist your IT team with cybersecurity risk assessments
- Assist with vendor cybersecurity due diligence
Due Diligence
Reviews
Before you hire a vendor, or other business partner with a third party, we help you review the risks. Services include:
- Operational due diligence questionnaires for service providers
- Compliance assessments
- Document review
- Red flag identification and remediation planning
- Integration of compliance functions
INDUSTRIES WE COVER
We work with a wide range of
financial service firms, including:
We work with a wide range of financial service firms, including:
SEC-Registered Investment Advisers
State-Registered Investment Advisers
Broker Dealers
Private Equity and Venture Capital Funds
Hedge Funds and Alternative Investment Managers
Wealth Management Firms
Fintech and Digital Asset Companies
Each industry faces unique regulatory challenges and we tailor our approach accordingly.
ABOUT US
Your Partner in Compliance.
At Caine Capital, we do not believe compliance should be an afterthought, a “necessary evil” or a burden that pulls you away from running your business. Our team of former regulators and compliance officers delivers tailored solutions that fit your firm’s size, structure, and goals. Whether you need ongoing advisory, a full outsourced Chief Compliance Officer, or targeted support for an exam or membership application, we are here to simplify the process and strengthen your defenses.
Our leadership brings deep, hands-on industry expertise, supported by active Series 7, 9/10, 24, 63, and 65 licenses, ensuring guidance that is both practical and grounded in current regulatory standards.
CONTACT US
Let’s Talk About Your Compliance Needs
Fill out the form below or reach out directly and we will respond within one business day.
Email: casey@riacompliancespecialists.com | Phone: (310) 429-9982