Hedge Fund Compliance

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

Alaric offers specialized compliance solutions to hedge fund managers

Alaric offers a high level of specialized compliance solutions to hedge fund managers, including:

• Chief Compliance Officer Services
• Compliance Support Services
• Compliance Consulting Services

 

Chief Compliance Officer (CCO) Services

• Alaric provides an independent, competent and experienced CCO to hedge fund managers who do not employ their own CCO.
• Our offering includes quarterly compliance reviews, continuing education on what a firm element is and how it applies to hedge fund managers, an annual compliance meeting and monthly consulting support.

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Compliance Support Services

• Alaric offers resources to hedge fund managers who already employ a CCO to assist with periodic compliance reviews and written assessments.
• Our clients hire us on a monthly, quarterly, semi-annual or annual basis to ensure that compliance review requirements are met when reporting to senior management.

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Compliance Consulting Services

Alaric's experts are available an hourly basis to help our clients:

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

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Newsroom

• May 2009
  COMPLIANCE WATCH: The Call a Hedge Fund Investor Should Make, COMPLIANCE WATCH, wsj.com,
• December 2004
  Firm Happy to Help Hedge Funds Comply, originally published by HedgeWorld.com
• September 2004
  The Playing Field: Compliance Zero Hour, Investor Advisor
• More News