OUR SERVICES
Private Fund Managers: Whether you are launching your first or fifth fund, we can assist with projects and ongoing compliance services. We offer project work through outsourced chief compliance officer roles.
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Outsourced Chief Compliance Officer: Take the compliance burden off of your Firm and hire a seasoned Chief Compliance Officer.
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Retail Advisers: Whether you are a Robo Advisor or brick and mortar financial advisory firm we have experience developing compliance programs for your Firm.
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Broker-Dealers: We can help ensure your retail broker-dealer or private fund cap intro firm meet FINRA regulatory requirements. We provide principal roles (i.e., Series 24).
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​AML: We provide AML Compliance officer and consulting services to meet industry best practices and regulatory requirements (U.S. and offshore).
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Crypto Project Back Office: We provide back-office services for crypto projects including finance, back office, and accounting services.
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COMPLIANCE DIY
We believe that compliance services can be democratized which will result in many new investment advisers and broker-dealer startups. Typically, there are certain policies and procedures and regulatory filings that are required to be finalized when launching your first fund, filing as an exempt reporting adviser, or registering with the SEC, FINRA or States. We can provide these filing and policy templates including the ADV Part 2A and 2B, Compliance Manual, Code of Ethics, Business Continuity and Cybersecurity policies, among others. This will greatly reduce the initial compliance burden for new firms and advisers. Just provide certain details about the services and type of Firm and we can provide a template that is tailored that you can run with, tailor further and finalize.
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If you would like us to help you tailor these filings and policies further, we can help.