We offer flexible compliance services, either supporting an in-house compliance officer or providing a qualified person to act as the fund’s chief compliance officer.
Services include
Chief compliance officer
- Managing the compliance risk assessment process
- Monitoring the implementation and effectiveness of policies and procedures
- Recommending policy and procedure enhancements
- Reporting to the fund management and board
Sarbanes-Oxley Officer
- Providing the principal executive officer and principal financial officers for public funds
- Reviewing and certifying regulatory filings
- Complying with disclosure controls and procedures
Anti-money laundering officer
- Overseeing compliance with fund anti-money laudering policies and address issues
- Filing suspicious activity reports
- Reporting to fund management and board
Chief compliance officer support
- Providing reporting and certifications
- Assisting with the design of the fund compliance programProviding tailored testing of your operations
- Consulting on board reporting and support
- Providing fund design and consultation
Portfolio trade compliance
- Maintaining the regulatory compliance rules
- Performing and reporting on daily post-trade compliance testing
- Performing analysis on compliance warnings and breaches and managing resolutions
