COMPLIANCE
OUTSOURCED CCO
- Independent, experienced industry professionals can serve as your named CCO
- Onsite support for regulatory requests and inspections
REPORTING
- Annual Compliance Report as required under Rule 206(4)-7 of the Investment Advisers Act of 1940
- Quarterly Management Updates
- Monthly Compliance Committee Reporting
COMPLIANCE SUPPORT
- Email review
- Develop, or review and update your Compliance Program including Code of Ethics, Solicitors, Custody, etc.
- Review of marketing materials, client presentations, website, etc.
- Access to independent legal professionals with a broad range of security industry specialties*
REGULATORY COMPLIANCE SUPPORT
- Prepare and file Forms ADV Part 1-A, ADV Part 2-A, ADV Part 2-B
- Prepare and file Form CRS
- Prepare and file other required regulatory filings
- Review, monitor and test your KYC compliance program including AML and CDD
- Review, monitor and test your Best Execution and prepare quarterly reports
- Review and test your Business Continuity and Disaster Recovery Programs
FUND SERVICES
- Offer general guidance and information for private funds, funds-of funds, and mutual funds
- Assist with vendor due diligence including transfer agent, fund administration, fund accounting, custodian, auditor and legal counsel
- Provide Fund Officer(s) including President and Fund CCO
- Review and filing of marketing material review
Ready to get started?
Schedule a meeting? Contact Us to discuss your goals.