Compliance

Compliance Solutions

The scope

A framework for compliance

Develop and implement a sound, internally controlled compliance environment supporting all regulatory requirements.

Establish institutional grade compliance

Perform comprehensive Compliance Risk Assessment and Matrix.

Author Compliance Manual inclusive of integral documentation i.e. Code of Ethics

Institute compliance oversight procedures

Prepare worksheets/checklists required by compliance program, relevant regulatory and industry requirements

Develop compliance training programs as required

Develop Business Continuity Plan ("BCP")

Author full BCP inclusive of Disaster Recovery and mitigation processes

Develop and institute BCP processes and testing schedules

SEC calendar and filings

Establish all SEC required reporting and establish SEC calendar

Prepare and file all required regulatory filings, i.e. Form ADV

Perform mock audits

Actively test and measure compliance framework

Develop actionable reporting and risk mitigation

Engagements and statutory filings

Coordinate with fund CCO and/ or Legal to coordinate engagements

Completion of all required statutory filings, i.e. NFA, State-specific filings

Monitoring standards

Actively manage compliance function through monitoring standards

Establish internal control processes, escalation and resolution of breaks

Investor-facing materials

Ensure all investor facing information is fully vetted and proper

Actively manage updates and vet client facing correspondence

The C-Suite Partner Model

C-Suite · Human-first advisory

Regulatory strategy, risk assessment & governance oversight

Day-to-day · AI-powered execution

Testing, surveillance, filings & regulatory reporting

AI powers a stronger, more intelligent engine—so our people can focus where judgement matters.