Managed Services

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Now more than ever, compliance and risk teams are challenged to increase the effectiveness of their compliance programs, manage with fewer internal resources, ensure high-quality results, reduce turnaround times and lower costs. 

We provide our clients with solutions to these challenges while delivering value and improved outcomes. Our dedicated team of compliance and risk professionals has a proven record of providing high-quality results in a timely manner for over 1,000 firms globally.  

Whether you’re a hedge fund with just one or two compliance professionals or a large complex financial services firm with a sizeable global compliance team, our managed services can help.

Why use managed services?

Many firms now find it more challenging to locate the talent required to fill key roles, something that particularly felt by compliance, performance and risk teams in financial services firms. This back-office staffing challenge leaves firms in danger of creating risky exposure gaps in their compliance program.

50+ Fintech Consultations

10+ Successful Representations

10+ Attorney

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 

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.

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.

Regulatory Filings

Our regulatory filings analysts can help aggregate, review and submit applicable filings on your firm’s behalf. This is a cost-effective, full-service offering, designed to streamline complex global reporting requirements, improve data accuracy, reduce talent burnout and manage operational costs.​
 
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. ​