Compliance
No two financial firms are the same, with varying needs, concerns, and risk areas. We can provide solutions that range from consulting arrangements to help improve and manage your program or design, implement and integrate our comprehensive compliance program into your existing business operations.
We believe that partnering with experienced compliance professionals that can understand your business, decipher the regulatory landscape and effectively manage your compliance program will allow your firm to seamlessly continue its operations and focus on growth while not having to worry about being tripped up by regulatory roadblocks.
BASE SERVICES
Registrations and Filings
Policies & Procedures
Compliance Calendar Construction
Mock Regulatory Exams
Annual Review of Compliance Program
Code of Ethics Management
Risk Assessment
Electronic Communication Surveillance
Marketing Reviews
Compliance Training
Cybersecurity oversight & Coordination
On-Going Compliance Support
Due Diligence on Third-Party Service Providers
Regulatory Exam Assistance
Relying on a one-size-fits-all approach could result in a financial services firm being exposed to an incomplete and inadequate compliance program, or paying for services that aren’t needed. Compliance mistakes can result in severe consequences, including regulatory and legal penalties and damage to your business reputation. We take the time to understand the potential issues your firm is facing and provide an efficient, scalable program that will provide holistic risk mitigation.
Why Needed?
Without accurate and timely reporting to investors, funds can't exist.
Independent third party to the fund adds another level of internal controls and asset safeguards for investors.
Operational and administrative support for fund managers so they can focus time on maximizing portfolio value.
