Our Expertise

Our regulatory compliance solutions provide continuous support for your compliance program. These solutions and support services are configured and implemented by our senior partner compliance specialists, seasoned by their investment industry and Chief Compliance Officer role experiences.

  • Investment Adviser Registration
  • Initiation of Compliance Program
    • Formation of compliance manual
    • Set-up Code of Ethics
    • Training
    • Creation of risk assessment
    • Establishment of compliance calendar
  • Ongoing Compliance Program Management: Act as Designated CCO
    • Provide Compliance Initiatives
    • Maintenance of Compliance Manual
    • Administration of Code of Ethics
    • Including pre-clearance, annual & quarterly reporting process
    • Annual Training
    • Maintenance of Risk Assessment
    • Implementation of Compliance Calendar
    • Revision and Renewal of Form ADVs
    • Review of 13F and/or 13G or 13D Filings
    • Assistance with Preparation and Filing of Form PF
    • Annual Testing and Reporting
    • Oversight of Remediation of Compliance Report Issues
    • Review and Approval of Marketing Materials
  • Ongoing Compliance Program Management: Advise In-house CCO
    • Providing guidance and support
    • Maintenance of compliance manual
    • Code of Ethics Administration
    • Annual Training
    • Maintenance of Risk Assessment
    • Implementation of Compliance Calendar
    • Revision & Renewal of Form ADVs
    • Review of 13F &/or 13G or 13D Filings
    • Preparation & Filing of Form PF
    • Annual Testing & Reporting
    • Remediation of Compliance Report Issues
    • Review of Marketing Materials
  • Routine Regulatory Examination Support
    • Assist with documentation preparation
    • Review documents prior to submission to regulators
    • Prepare personnel
    • Participate in interviews and meetings with regulators
    • Draft response to Deficiency Letter