Simon Compliance: Navigating the Shifting Tides of Compliance, Safeguarding Your Business

At Simon Compliance, clients are provided with personalized compliance programs crafted by a former SEC enforcement attorney well-versed in navigating the complexities of evolving laws and regulations. This boutique securities compliance firm emphasizes individualized attention, tailoring each client engagement and offering flexible pricing options, including hourly, project-based, or retainer arrangements. The core services encompass SEC registration, development or refinement of policies and procedures, support with regulatory filings such as Form ADV and Form PF, annual reviews, establishment of forensic testing protocols, compliance training, and other tailored services tailored to specific client needs.

The Simon Compliance team, comprising professionals with legal and financial expertise, brings a pragmatic market outlook to compliance matters. They comprehend the business-oriented aspects of their clients' enterprises and possess the acumen to assess and mitigate risks effectively. Employing their collective proficiency and a collaborative methodology, they devise compliance solutions for clients, delivering thoughtful counsel and accessible, responsive support throughout the entire process. Through this collaborative partnership, Simon Compliance ensures businesses remain compliant both presently and in the years to come.

Simon Compliance: Setting the Gold Standard for Compliance Excellence

In the intricate landscape of compliance, Simon Compliance stands as a pillar, establishing the foundation and expectations for regulatory adherence. Recognizing that the trust and confidence of investors hinge upon a robust compliance culture, this boutique securities compliance firm takes a vigilant stance, always looking out for its clients.

With a commitment to personalized service, Simon Compliance tailors each engagement to meet individual needs, offering flexible pricing options, including hourly, project-based, or retainer arrangements. Their comprehensive services encompass SEC registration, policy and procedure creation or revision, support with regulatory filings such as Form ADV and Form PF, annual reviews, establishment of forensic testing programs, compliance training, and a range of other services tailored precisely to client requirements.

Through collaborative efforts, Simon Compliance ensures businesses remain compliant not only in the present but also in the ever-evolving future, safeguarding their integrity and investor confidence.

At Simon Compliance, Your Unique Business Matters Most

Recognizing the distinctiveness of every enterprise, Simon Compliance takes pride in tailoring compliance solutions to meet the individual needs of its clients. With a profound understanding that no two businesses are alike, the firm offers customized compliance programs crafted by a former SEC enforcement attorney. This seasoned professional comprehends the nuances of complying with the ever-changing laws and regulations, ensuring clients are in capable hands.

Specializing in partnering with private equity funds, real estate funds, hedge funds, venture capital funds, and investment advisory firms, Simon Compliance goes beyond surface-level comprehension. They delve deep into understanding the intricacies of each business. Through close collaboration with clients and their teams, Simon Compliance assists in meeting their compliance needs, providing invaluable support in navigating the complexities of regulatory requirements.

In the Heart of Compliance: Simon Compliance Ensures Your Business Stays on Track

Acknowledging the demanding nature of compliance tasks and the challenges businesses face in prioritizing them, Simon Compliance steps in as a reliable guide. Recognizing that compliance isn't always at the forefront of business concerns, the firm takes charge of your compliance responsibilities. Through a tailored compliance program, they keep businesses on a structured schedule, providing essential training and education to teams. Regular check-ins is conducted to ensure continuous testing and monitoring, preventing missed deadlines and ensuring the program's effectiveness.

Expertise Services

Simon Compliance understands the pivotal role experience plays in compliance matters. With a team boasting backgrounds in both legal and financial fields, they bring a pragmatic market perspective to the compliance landscape. They grasp the commercial intricacies of businesses, adeptly assessing and managing risks. Utilizing their expertise and a collaborative approach, they craft customized compliance solutions. Clients benefit from meticulously considered advice and accessible, responsive service at every stage.

Lindsey Simon | Founder & CEO

When Lindsey was General Counsel and Chief Compliance Officer of Carpe Diem Capital Management, a hedge fund in Chicago, she was surprised that as a former SEC enforcement attorney and Winston & Strawn attorney, she still felt unprepared for the minutiae of running a compliance program. Whenever she called outside counsel or compliance consultants, she was frustrated, not only with the ensuing bills, but also with the lack of answers she received. Lindsey models Simon Compliance on the type of advice, handholding and rates she would have liked when she was in-house.

With more than 20 years of experience as a securities professional, Lindsey has been featured in several industry publications, including Crain’s Chicago Business, The Wall Street Journal and Bloomberg Business Week. She specializes in private equity registration, hedge fund registration, mock SEC audits and ongoing compliance management for investment advisers.

Lindsey 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 is a member of the Illinois bar, the Economic Club of Chicago and the Midwest Chapter of the Private Equity CFO Association Advisory Board.

“We understand the commercial component to your business and know how to assess and manage your risks.  Using our expertise and a collaborative approach, we create your customized compliance solution, offering carefully considered advice and accessible, responsive service at every step along the way.”