Compliance Consulting

Compliance Solutions

• Broker-Dealer Services
• Chief Compliance Officer Outsourcing
• Compliance Consulting
• Compliance Program Oversight and Monitoring
• Compliance Training
• Derivatives Compliance
• Hedge Fund Compliance
• Investment Advisor Compliance
• Principal Financial Officer Outsourcing
• Private Equity Firm Compliance

Our compliance team can develop robust compliance procedures that make sense in light each client's business models

Alaric's team of compliance experts can help clients update or build new compliance programs. In addition, they are available, on an hourly consulting basis, to help clients with specific regulatory compliance issues.

Compliance Program Building

Alaric can assist clients that already employ a CCO and that have a compliance program with updating or building a completely new compliance program. Specifically, we can:

• Audit existing procedures
• Benchmark existing practices against industry standards
• Develop robust compliance procedures that make sense in light of each client's particular business model
• Provide clients with written policies and procedures that can be readily administered, with testing and reporting methodologies built into each section of the compliance program

Compliance Consulting

In addition, Alaric's experts are available on an hourly consulting basis to help our clients:

• develop compliance procedures;
• write or review new broker-dealer applications;
• review customer complaints;
• conduct internal investigations and/or independent assessments; or
• provide support for regulatory reporting or inspection.

Publications

• August 2007
  The Role and Responsibility of a Chief Compliance Officer, The Monitor
• August 2004
  Outsourcing the Role of CCO, Compliance Corner
• More Publications