Alaric offers clients a pragmatic, customized approach that is cost-effective
and easy to integrate
Alaric Compliance
was created to help our clients meet new, complex and continually evolving
compliance requirements. Our clients engage Alaric because of our ability
to provide trusted compliance solutions. Our clients can expect:
Independence and Transparency
Alaric offers clients an independent compliance program that is sheltered
from undue influence or incentive structures.
- Alaric's service model and deep expertise provide clients with
the assurance of an independent and transparent compliance program that
is sheltered from undue influence or incentive structures.
- Alaric is the leading provider of outsourced CCOs, serving more than
20 separate entities nationwide.
- An Alaric CCO can intervene before problems turn into violations.
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Best Practices
Alaric's compliance policies and procedures reflect current industry
best practices. In addition, they:
- are well-documented and rigorously tested on a regular basis to ensure
proper implementation and adherence; and
- leverage the knowledge gained through our association with other similarly
situated industry participants.
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A Pragmatic and Customized Approach
Alaric's compliance approach is easy for clients to integrate quickly.
- Working with in-house compliance, legal and operational staffs, Alaric's
expert compliance team adopts a disciplined process to design solutions
that satisfy each client’s individual compliance needs in a cost
effective manner.
- Implementation proceeds quickly, with most clients achieving full set-up
within 7 to 10 business days.
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A Comprehensive Suite of Compliance Solutions
Alaric offers clients a comprehensive suite of compliance solutions to
meet our clients’ most critical compliance needs, including:
- Broker-Dealer Compliance
- Chief Compliance Officer Outsourcing
- Compliance Consulting
- Compliance Oversight and Monitoring
- Compliance Training
- Derivatives Compliance
- Hedge Fund Compliance
- Investment Advisor Compliance
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Cost-Effectiveness
The compliance solutions offered by Alaric are cost effective:
- Clients do not incur the costs of additional overhead, office space, technological
infrastructure or employee benefits.
- Alaric brings to clients an experienced and disciplined team for a fraction
of the cost to maintain a comparable in-house organization.
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A Team of Qualified Individuals
Alaric provides a team of qualified individuals who, as impartial outsiders,
have the experience and independence to provide objective oversight and monitoring.
- We have the skills and expertise to provide compliance support in-house
CCOs or to act as a client’s CCO if needed.
- We provide access to our compliance expertise 24 hours a day, 7 days a week.
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