Alaric serves the regulatory compliance needs of SEC-registered and unregistered investment advisors
Alaric offers a high level of specialized compliance solutions to investment advisors (both registered and unregistered), including:
Chief Compliance Officer (CCO) Services
- Alaric provides an independent, competent and experienced CCO to investment advisors 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 investment advisors, an annual compliance meeting and monthly consulting support.
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Compliance Support Services
- Alaric offers resources to investment advisors 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 investment advisor compliance applications;
- review customer complaints;
- conduct internal investigations and/or independent assessments; or
- provide support for regulatory reporting or inspection.
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