According to a release, in addition to its Sarbanes-Oxley-compliance product for public companies, the company will offer a program to allow RIAs and investment companies to evaluate current operations and compliance policies and procedures, develop recommendations for enhancements to compliance programs and test the effectiveness of compliance controls.
“Where we primarily add value is in the review of existing policies and procedures to identify gaps and make sensible recommendations for process improvements that will increase a firm’s internal control structure and add efficiency to their current operations,” said Anthony DiSalvo, a manager in Rothstein Kass’ Corporate Governance Group. “In providing these services to registered investment advisers, we anticipate it will reduce the SEC’s review time and free up valuable resources that can be focused on growth opportunities.”
For more information about Rothstein Kass’ Corporate Governance Group, please visit here .
« Media General Joins DB to DC Movement