COMPLIANCE & REGULATORY SUPPORT

​

Is your firm up-to-date on current industry regulations?

​

• Create a customized compliance program and manual

• Design a code of ethics and employee manual

• Construct a specifically tailored and thorough risk assessment

• Provide guidance with regulatory filings, document preparation and review

• Oversee FATCA reporting

• Prepare for regulatory audits & mock audits

• Conduct annual compliance reviews & training

• Advise on industry best practices and regulatory updates

• Assist in GIPS compliance readiness