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.