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WhySimon?

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Why Simon Compliance?

Simon Compliance is a boutique securities firm offering the best in consulting services. We specialize in partnering with financial services firms to foster a culture of compliance.

We offer carefully considered advice and accessible, responsive service to create a customized, cost effective compliance solution.

Customized ProgramsWe design and create compliance programs for newly registered financial firms.We address the needs of established financial firms.You gain market perspective from our work with other similarly situated firms.

Proactive PartneringWe test and monitor your program continuously.We free up internal resources so you can focus on business issues.You quickly and simply adopt policies and procedures to address the ever-changing landscape.

For every client, we tailor our services to your needs and offer hourly, project and retainer engagements.

Together we’ll build and maintain a culture of compliance and meet your compliance needs now, and in the future.

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A Simon Compliance Engagement Timeline

We support your company’s

existing andunique

infrastructure.

We start with an independentassessment to

determine yourcompany’scompliance

needs.

We build a customized compliance

program specific to

your needs.

And finally weperform ongoingmaintenance andforensic testing

services asneeded.

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A Simon Compliance Engagement Pricing Structure

Hourlyv Do you already have a robust compliance program in place?

v Do you need someone to call periodically for questions and advice?

v Do you have a team of people in place to help you with your compliance program?

v Are you unsure of your compliance needs? Are you small and cost-conscious? Would you want to test out our firm to see if it’s a fit first?

Projectv Do you need assistance with your investment adviser registration and compliance program build out?

v Are you looking to assess your current compliance program?

v Are there any specific areas that you would like a deeper look?

Retainerv Do you need ongoing assistance with compliance related matters?

v Do you need someone to lean on for advice on a regular basis?

v Would knowing your monthly costs for compliance help for budgeting purposes?

v Does your firm want a partner to proactively reach out with compliance related reminders, drafts of your ADV and news about recent cases and developments?

Simon Compliance

Services

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Compliance Services– Registration and Compliance Program Build Out

Workingwith

Simon

v Create compliance manual, code of ethics, disaster recovery policy, cybersecurity policy, pay to play policy, valuation policy, anti-money laundering policy and others, as requiredv Assistance with IARD Entitlement Packagev Create and file ADV Parts 1 and 2v Review and coordinate with counsel regarding offering and subscription documents, as well as other legal issuesv Review and comment on marketing materialsv Review of websitev Create procedures for maintaining books and recordsv Create a compliance calendarv Create a log list and other systems to track ongoing compliancev Provide training session about compliance program and/or particular areas of interestv Provide resource for CCO, along with additional members of the firm, regarding compliance program and areas of interestv Availability for phone calls and emailsv Assistance with third party vendor selection and onboardingv Participation in third-party due diligence phone callsv Assist with creating a forensic testing program

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Compliance Services– Ongoing Compliance Maintenance

Buildingwith

Simon

v Annual and as needed revisions of Form ADV Parts 1 and 2v Annual filings of Form PFv As needed revision of compliance manual, along with related policies and proceduresv Review of marketing materialsv Annual training for all employees about the compliance program and areas of interestv Assistance with annual supervised persons certificationsv Monthly/quarterly/annual reminders of compliance requirementsv Rule 206(4)-7 required annual reviewv Provide resource for CCO regarding compliance program and areas of interestv Advise on new compliance related releases, cases and regulations including custody rules, FATCA, AIFMD, etc.v Educational events held at Simon Compliancev Mock auditsv As needed phone calls and emails

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Compliance Services– Ongoing and Additional Services

Ongoingwith

Simon

v Blue Sky filings (federal and state)v Form D filingsv Assistance with anti-money laundering reviews and certificationsv Assistance with personal trading reviewsv Assistance with email reviewsv Assistance with SEC preparation and examination

Lindsey Simon

Lindsey is a securities professional with over 19 years of experience. She specializes in private equity registration, hedge fund registration, mock SEC audits and ongoing compliance management for investment advisers. She served as a Senior Attorney with the United States Securities and Exchange Commission in the Division of Enforcement and as General Counsel and Chief Compliance Officer at Carpe Diem Capital Management, a Chicago-based hedge fund. She was an Associate in the litigation department of the Chicago office of Winston & Strawn and also served as a law clerk for the Honorable William J. Bauer of the Seventh Circuit Court of Appeals.

Lindsey received her B.A., cum laude, from Emory University, and her J.D. from Northwestern University School of Law, where she was Editor-in-Chief of the Journal of Criminal Law and Criminology.

Lindsey’s team includes experienced compliance lawyers and additional support staff to provide comprehensive, client-focused service.

Thank You Email us for a tailored pricing

structure for your business: info@simoncompliance.com

simoncompliance.com

Chicago Office180 N. LaSalle Street, Suite 3000

Chicago, Illinois 60601312-325-7340