Compliance Services 2017-07-10T04:09:34+00:00

Compliance Services

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.