NorthPoint is different because we take the time to understand each investment adviser’s compliance needs and then tailor our services to fit the level of assistance desired by your firm.

By partnering with NorthPoint, you can:

  • Reduce the number and severity of deficiencies and violations found during a U.S. Securities and Exchange Commission (SEC) examination.
  • Decrease firm reputation risk and gain peace of mind that your compliance program is in accordance with the Investment Advisers Act of 1940 and expected best practices, and is equivalent to or better than that of your peers.
  • Reduce the likelihood that compliance violations and deficiencies go undetected.
  • Improve your ability to demonstrate to the SEC, as well as to clients and investors, that you maintain an adequate compliance program.
  • Enhance your annual compliance review and reduce the time spent conducting such reviews.
  • Reduce the impact that compliance reviews and tests have on your employees’ other initiatives and projects.

With NorthPoint, you have a partner that is dedicated and determined to help your firm meet all of its compliance objectives and achieve the aforementioned goals.