CCO

Regulatory requirements have taken center stage across the industry, straining the resources of firms as they attempt to comply with a landscape that seems to shift on a regular basis. We have designed and managed comprehensive programs and interfaced with regulators at the industry, state and federal levels, providing you with unrivaled across-the-board experience.

– Advisor registration filings
– Fund exemption filings
– Policies and procedures
– Compliance and employment manuals
– Templates for books and records
– General compliance requirements
– Contingency planning
– Perform quarterly and annual compliance reviews