Regulatory & Compliance Services

Stay Compliant. Stay Confident.

Navigating SEC and state regulations doesn’t have to be a headache. Ocorian’s U.S. regulatory and compliance team delivers full-spectrum support for RIA and ERA managers—so you can focus on performance, not paperwork.

What Sets Us Apart

Custom Compliance Programs

Tailored manuals, codes of ethics, policies, procedures, and employee training—all built around your firm’s needs.

Annual Reviews & Risk Assessments

Comprehensive 206(4)-7 compliance program reviews to keep your risk profile sharp and your controls tighter.

Regulatory Filings & Monitoring

Form PF, 13F, 13H, 13G, N-PX, Form D, ADV amendments—we prep, file, and track it all.

Investor Due Diligence Support

We prep for meetings, respond to DDQs, and ensure your compliance story is investor ready.

Ongoing Compliance Management

Calendar monitoring, training, testing, updates, and ad hoc advisory—your compliance engine, always running.

SEC Exam Support

From document submission to interview prep, we manage the process end-to-end.

Marketing Material Reviews

Ensure your pitch decks and presentations meet SEC marketing rules—with all required disclosures.

Initial Filings & Program Setup

ADV Parts 1, 2, 2B, Form CRS—we handle filings and advise on building your compliance calendar from day one.

Mock SEC Exams

We simulate real exams—document requests, interviews, findings reports—so you're ready when it counts.

What We Deliver

Deep Regulatory Expertise
We know the rules—and how to keep you ahead of them.
Hands-On Partnership
We don’t just advise—we execute, monitor, and evolve with your business.
Built for RIAs & ERAs
Whether you're launching or scaling, our services flex to fit your firm.