Investment Advisers
The Securities and Exchange Commission has created a new world for investment advisers. Investment advisers now must have:
- A code of ethics with teeth
- Detailed, written compliance policies and procedures
- A knowledgeable, experienced Chief Compliance Officer with substantive authority within the firm
Hedge fund managers will soon need to register and learn the regulatory ropes of the Investment Advisers Act and related regulation. We:
- Register your firm with the SEC
- Prepare a compliance program that suits your firm and that comports with the SEC's requirements
- Can have one of our principals serve as your Chief Compliance Officer under specified terms and conditions
- Prepare interactive compliance calendars so you will avoid missing important filing and other events
- Field regulatory questions regarding the Investment Advisers Act, ERISA and other regulation
- Help prepare important agreements for your business
- Help you establish and implement important committees, such as Valuation, Pricing, and Proxy Voting, Risk and Compliance
- Assist with general business consulting
| Introducing CompliPort, the compliance reporting aid and facility for registered entities.
|
|