We can provide full compliance services in both the SEC and CFTC domains of your fund and management company, including Form ADV (I & II) completion and filing, short-sale monitoring, quarterly NFA filings, code of ethics, and required annual policy reviews (AML, trade restrictions, etc.)
Some of our services include:
• Employee personal trade clearing.
• Coordination of annual employee certifications and reports related to Code of Ethics.
• Review compliance of marketing material, performance reports, and investor letters.
• Distribution and monitoring of regulatory investor communications.
• Annual and periodic updates to adviser registration materials.
• Managing non-public information and restricted lists.
• Managing ongoing securities filings related to portfolio holdings.
• Managing ongoing adviser and fund regulatory filings.
• Maintaining crucial information logs relating to policy breaches, investor complaints, and regulatory inquires.
• Maintaining disaster recovery and business continuity planning and testing.
• Managing employee email surveillance.
• Maintaining requested record keeping.
• Quarterly compliance program updates for regulatory and firm structural changes.
• Performing required annual written compliance reviews.
• Providing ongoing employee compliance training.
• Assisting with lead advisor’s responses to regulatory inquiries and examinations.
• Assisting with investor due diligence inquiries.