We offer a customized approach to compliance program management, developed over many years of expert compliance consulting and CCO outsourcing leadership. Many companies turn to Alaric for outsourced CCOs. The Alaric approach instills the confidence that only a proven compliance program can offer.

Alaric was created to help our clients meet new, complex and continually evolving SEC, FINRA, CFTC/NFA 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.

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.

A 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.
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