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Compliance is All We Do

Your resource for delivering outsourced compliance services to registered funds, money managers, alternative investment firms including hedge and private equity funds, and broker-dealers

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Building a Culture of Compliance

As an appointed outsourced CCO we provide access to a deep-bench team of compliance resources, demonstrate compliance independence, share liability, and lower costs

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Best Practices with Investment Industry Savvy

Do you assess your regulatory risk the same way that the SEC does? The SEC is more frequently naming and prosecuting individuals, not just companies

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Timely Insights on Compliance

SEC’s Blass Announces Plans to Modernize Adviser Marketing Rules March 20, 2019

The SEC’s Investment Management Division Director, Dalia Blass, anticipates that the Division will soon recommend changes to the adviser marketing and solicitation rules.  In her annual speech to the Investment Company Institute membership, Ms. Blass also announced initiatives for a summary shareholder report, updates to the valuation guidance, modernization of… Read more

Fund Manager Rigged Auction Process in Client Cross-Trades March 19, 2019

A private fund and CDO manager agreed to pay over $400,000 to settle charges that it facilitated an illegal cross-trade that benefitted one client over another.  The SEC alleges that the firm sold securities held by its CDO client to its private fund at an artificially low price because the… Read more

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