Fractional General Counsel
- Investment Managers
- Hedge Fund Managers
- Venture Capitalists
- Wealth Managers
- Fintechs
- Broker-Dealers
Built for Regulated Businesses
- Investment Managers
- Hedge Fund Managers
- Venture Capitalists
- Wealth Managers
- Fintechs
- Broker-Dealers
Outsourced Marketing and Advertising / Financial Promotions Reviews
Our skilled compliance team can assist with regulatory review while enhancing collateral review workflows and protocols, allowing your firm to significantly reduce the amount of time and resources devoted to this process.
We can review your marketing material and provide guidance on key regulatory expectations and best practices.
Some common focus areas are:
• Performance claims
• Benchmark usage
• Performance portability
• Testimonials
Code of Ethics and Personal Trading System Support
Our dedicated specialists can help manage your firm’s code of ethics and personal trading activity, reducing the burden of administration in an efficient and cost-effective manner.
We’ll provide a case manager for ongoing employee guidance and investigating items of interest (IOI) while supporting your compliance program with personal trade reviews, account reconciliations, employee certification maintenance and more.
Electronic Communications and Online Presence Reviews
Electronic Communications
We specialize in conducting risk-based reviews of electronic communications to help firms meet regulatory obligations and identify effectiveness of existing trainings, policies and procedures. Our team includes specialized analysts with a wealth of benchmarking expertise based on thousands of electronic communications reviews and peer searches.
Social Media and Online Presence Review
Our social media and online presence reviews can assist your firm with identifying public online activity that could pose compliance or reputational issues.
This service can also assist your firm with addressing regulatory guidance on the personal use of public-facing social media by investment advisers and their employees.
Regulatory Filings
Supervisory Requirements and Legislations include:
• FCA/ESMA:
◦ AIFMD/Annex IV
◦ MiFID
• ESMA
◦ SFDR
◦ CBDF
Expert Network Chaperoning (and Recorded Calls Reviews)
Our analyst team helps address growing regulation around material non-public information (MNPI) and the increasing need for risk-based chaperoning.
We can chaperone your calls or virtual meetings, noting any observes inconsistencies with policies and procedures or potential risks and escalate any significant notes immediately to internal compliance contacts.
This solution is ideal to help tackle resource restraints and concerns around potential associated business and compliance risks that could lead to problems with regulators, clients and prospects.
We utilize our in-house technology and optimized workflows for most filings to reduce risk and increase efficiencies.
Anti-Money Laundering (AML) Due Diligence Support KYC/CIP Onboarding and AML Screening
Our AML DD and KYC/CIP solution is designed to assist your firm implement effective AML processes that meet industry best practices and comply with applicable local laws and regulations.