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For Investment Advisers
Compliance strategy delivered by experts in the financial services industry.
Proven experience to guide you through regulatory and compliance issues.
For Hedge Fund Managers
Practical solutions to complex compliance and registration questions.
For Investment Companies
Manage compliance issues with greater confidence and confidentiality.
New SEC Cybersecurity Sweep
The Office of Compliance Inspections and Examinations (OCIE) announced a cybersecurity sweep focused on Investment Advisers with Branch Offices being involved in mergers and acquisitions.
Are you ready for AML Scruitiny?
Regulatory concern about money-laundering activity is only increasing, and financial institutions are pumping money and human resources into maintaining adequate compliance programs.