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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

FUND ADMINISTRATION

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263 Tresser Blvd. 9th Floor Stamford, CT 06901