Regulatory audits, inquiries, and reviews can cause costly business interruptions and are generally a distraction from activities focused on achieving core business objectives. The best way to minimize the impact of regulatory requirements and inquiries for a registered investment adviser is to implement a robust, firm-wide compliance program, and monitor its administration regularly.
We provide a range of RIA compliance services designed specifically with our registered investment adviser clients in mind. Among others, these services include drafting compliance policies and procedures, advising on investment adviser compliance responsibilities under state “blue sky” laws and the Investment Advisers Act of 1940, conducting mock audits and mock SEC examinations, and interfacing with regulators during periodic reviews.
Only when you are fully aware of your compliance responsibilities and are confident in your compliance infrastructure designed to address these responsibilities can you be free to focus on your core objectives of client service and delivering outstanding returns.
Whether you are launching a new registered investment adviser or are experienced in handling RIA compliance matters, our firm can be a resource to develop or improve your RIA compliance infrastructure.
As part of our ongoing Registered Investment Adviser Compliance services we will assist you with:
We routinely provide established registered investment advisers with comprehensive compliance infrastructure reviews. As part of this process, we review all of your compliance obligations under the Investment Advisers Act of 1940 and other applicable regulations. This review is also useful for managers that are not registered with the SEC but want to evaluate their infrastructure against SEC requirements and other best practices. Many institutional investors will review RIA compliance policies and procedures prior to making an investment with any registered investment adviser.
Our compliance team will review all of your internal compliance policies, procedures, and existing business practices and will provide feedback on our findings along with practical recommendations for improvement. During this evaluation, we will determine whether your firm’s actual business operations are consistent with your compliance documentation. Part of our feedback will also include suggestions on how to simplify and streamline your procedures.
We regularly conduct mock audits and mock SEC examinations to test our clients' policies and procedures and ensure that our registered investment adviser clients are fully prepared for their next regulatory review. Our team of experienced compliance professionals includes senior securities attorneys and Investment Adviser Certified Compliance Professionals (IACCP).
Mock SEC examinations and mock audits for state registered investment advisers typically include a review of procedures and practices related to:
With respect to private fund managers, including hedge fund managers, we will examine specific issues such as:
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