Simon Compliance
Simon Compliance is a boutique securities compliance firm dedicated to providing tailored, well-reasoned advice and customized compliance programs for private equity funds, real estate funds, hedge funds, venture capital funds, and investment advisory firms. Founded in 2010 by Lindsey Simon, a former SEC enforcement attorney and in-house compliance officer, the firm emphasizes a collaborative approach, practical business advice, and a focus on building a strong compliance culture to help clients meet regulatory requirements while supporting their business growth.
Industries
Nr. of Employees
small (1-50)
Simon Compliance
Winnetka, Illinois, United States, North America
Services
Develop and implement firm-specific compliance programs tailored for investment managers and private funds.
Support for SEC and state filings, including Form ADV, Form PF, Section 13 filings and Blue Sky notifications.
Creation or revision of written policies and procedures to document firm operations and controls.
Fee and expense testing, side letter testing, and review of performance calculations as part of a forensic testing program.
Preparation and simulation of regulatory examinations to prepare firms for SEC or other regulator reviews.
Review of marketing and offering materials to ensure compliance with applicable securities marketing rules.
Develop and implement firm-specific compliance programs tailored for investment managers and private funds.
Support for SEC and state filings, including Form ADV, Form PF, Section 13 filings and Blue Sky notifications.
Creation or revision of written policies and procedures to document firm operations and controls.
Fee and expense testing, side letter testing, and review of performance calculations as part of a forensic testing program.
Preparation and simulation of regulatory examinations to prepare firms for SEC or other regulator reviews.
Review of marketing and offering materials to ensure compliance with applicable securities marketing rules.
Expertise Areas
- Securities regulatory compliance
- Private fund compliance (private equity, real estate, venture capital, hedge funds)
- Investment adviser registration and reporting
- Regulatory filings and reporting (Form ADV, Form PF, Section 13, Blue Sky)
Key Technologies
- Compliance calendar and automated reminder workflows
- Regulatory filing workflows
- Forensic testing methodologies
- AML screening and review processes