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