Alaric is the leading provider of compliance services to Business Development Companies.

Alaric Compliance has the expertise needed to guide our clients through the regulatory challenges they face. Over the last decade, we have seen a significant increase in the number of Business Development Companies (BDCs), which are an effective source of funding for small- and mid-size companies. Strong growth and the changing regulatory environment have created a need for more specialized compliance solutions for BDCs and their Investment Advisers.

How We Can Help

The Alaric Compliance team has the experience to help BDCs assess risks, develop compliance policies and procedures, and assist in preparation for examinations, reviews and testing. We can provide an independent and experienced Chief Compliance Officer (CCO) for your company. Alaric CCOs meet the SEC’s expectation for expertise, competence and authority in the performance of their roles.

Services

Chief Compliance Officer Outsourcing for the Company and/or its Adviser


Compliance Services for New Advisers, Start-Ups and New Funds

  • SEC Registration Services
  • Gap Analysis and Risk Assessments
  • Compliance Policy, Procedure and Process Development
  • Code of Ethics Development
  • Compliance Calendar and Compliance Testing Design
  • Compliance Orientation and Training
  • Independent Director Consulting Services

Ongoing Compliance Program Support

  • Ongoing Compliance Program Monitoring and Testing Services
  • Code of Ethics Administration, including Personal Trading Reporting and Review Software
  • Form ADV Part 1 and ADV Part 2A and Part 2B Revisions and Updates
  • Compliance Training
  • Other Related Compliance Consulting

Examinations and Reviews

  • Regulatory Examination Support and Deficiency Response
  • Annual Compliance Reviews Rule 38a-1/Rule 206 (4)-7
  • Mock SEC Examinations
  • Risk and Control Assessments
  • Focused Reviews
The big distinction with BDCs is the valuation activity: the fact that the Board is so intimately involved and the use of third party evaluation firms are both areas that need to be focused on.”
- Guy F. Talarico, CEO & Founder, Alaric Compliance Services

Related News & Alerts

  • OCIE National Examination Program Priorities 2017 > READ MORE
  • SEC Adopts Amendments to Regulation S-X Applicable to BDCs > READ MORE
  • SEC Proposes Derivatives Regime for Mutual Funds, ETFs, and BDCs. > READ MORE
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