Regulatory Compliance Service

Compliance Planning & Programs

Our regulatory compliance advisory includes corporate governance, SEC filings 10k,10Q, Regulation D, Blue Sky Laws, Sarbanes-Oxley (SOX), GAAP, FCPA and other important regulations that require compliance programs.


There’s no substitute for hands-on SEC, SOX audit and compliance experience. We have many years of Internal control expertise. Section 404 of Sarbanes-Oxley (SOX) requires management of every company to include an evaluation of its internal controls over financial reporting in its annual report, including non-accelerated filers. Our Sarbanes-Oxley Regulatory Compliance Services can help you avoid the fines, penalties and bad press associated with noncompliance. Based on clients’ objectives, we can: develop compliance programs; review existing programs for effectiveness; perform risk assessments; conduct periodic compliance monitoring; assist you in preparing for regulatory exams, with follow-up and implementation of corrective actions; conduct training; document compliance policies and procedures.

Taking a modular approach, our services – including assessment, testing, reporting, documentation and ongoing monitoring – are designed to help clients evaluate and document the effectiveness of their internal control processes. We also have the necessary tools and templates to facilitate and expedite the implementation of any SOX compliance effort, while optimizing your internal control environment and improving your overall processes.

Whatever your need, Millennium can help. Millennium is an independent analyst firm. We provide authoritative data, analysis and advice to help our clients succeed in the world of sustainable business. Through our global primary research and deep domain expertise we provide our clients with strategic advice, revenue generating services, best practice frameworks, industry connections and competitive advantage.

Policy change, new regulations and enforcement mechanisms shape risks and opportunities for sustainable business strategies. Millennium analysts conduct forward-looking, global research into energy and climate change policies, subsidies, feed-in tariffs, environmental compliance and reporting. We focus on the requirements created by policy change and help our clients optimize responses. We also look for opportunities for product and service innovation that respond to the regulatory environment.

This service is designed for senior managers who own revenue targets for businesses, products and services in the energy, environment and sustainability market. We recommend that people from the following roles attend:

• Business development director • Portfolio manager • Strategy director / VP Strategy • General manager / CEO • Practice leader and consulting partner • Head of sustainability • Innovation leader • Solutions marketing

We take governmental regulations and compliance seriously. We deliver “outsourcing solutions” customized to meet your specific objectives, while considering tax advantaged and tax sheltering opportunities to protect the assets of your company and it’s employees. We can establish Corporate Governance programs, compliance reviews, ERISA Compliance, Sarbanes Oxley Compliance, and SEC Compliance.


While it is unclear in which direction regulation will evolve, it is reasonable to suggest that firms that taking a pro-active approach to risk management will manage those risks efficiently and effectively increasing investor and regulators satisfaction. While investment firms may have both the appropriate compliance culture and “tone at the top,” they may not always have the means to execute a proactive and systematic risk-based compliance methodology necessary to effectively manage risk. We use following outline to design a proactive methodology to meet this need:

۞ Reassess your key Compliance Management goals and objectives at least semi-annually;

۞ Ensure that your “Risk Management Policy,” risk factors, and inventory of risk scenarios and related compliance “events” are current, relevant and comprehensive;

۞ Update compliance policies and related compliance manuals where appropriate.

۞ Document and periodically update a formal system of controls or “tasks” designed to mitigate your inventory of compliance risks;

۞ Ensure that your compliance management system is not only robust, but also flexible and responsive to the ever-changing market environment;

۞ Conduct periodic reviews and document risks, events, tasks and the functionality of the Compliance Management system.

۞Consider an annual compliance review by an independent third party to support the CCO’s annual report.


Regulation D Offerings – SEC Filings and filings for sale of securities pursuant state Blue Sky Laws is included in our Regulation D Private Placement Memorandum program. This includes the Drafting of the Private Placement Memorandum, the Filing of form D, and registration under state Blue Sky Laws, investor matching, stock subscription agreements, and more.

We also prepare and file 10-K, 10-Q statements pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934. The filing must submitted quarterly with the US Securities and Exchange Commission. It contains similar information to the annual form 10-K, however the information is generally less detailed, and the financial statements are generally unaudited. Information for the final quarter of a firm’s fiscal year is included in the 10-K, so only three 10-Q filings are made each year.

We can help you implement compliance program best practices and help you efficiently manage internal controls and regulatory trends. Contact us for complimentary analysis of your compliance needs.

1-800-791-6962. Email: