At Pillar, our experienced professionals work with investment advisers to help develop, implement, monitor, and enhance their compliance programs.
Our services have been designed to provide support with essential compliance activities, and to deliver them in a practical way.
At the center of our business is a focus on the partnerships with our clients.
We are pleased to announce that Lance Friedler has joined Pillar Compliance Group as a Managing Director. Lance has over 25 years of experience advising on regulatory and compliance matters for investment managers and broker-dealers. Most recently, Lance was a consultant to Kroll in its Financial Services and Compliance Regulation group. At Pillar, Lance will advise clients on all aspects of their compliance programs including registration, ongoing assessment, and regulatory examinations.
Registered Investment Advisers must comply with the SEC's new Marketing Rule by November 4th, 2022. As Investment Advisers prepare to comply with the new rule, Pillar can assist with training on the rule, updates to Adviser's compliance policies and procedures, and guidance related to marketing materials and activities to comply with the rule.
Pillar Compliance Group uses the illumis political contribution monitoring platform to help clients manage pay-to-play risks effectively. The illumis platform is a powerful tool to help investment advisers monitor compliance with their policies and procedures.
Contact us to learn more.