We support investment advisers throughout the business life cycle, from start-ups needing registration services or a new compliance program to mature businesses looking for help in the ongoing administration, monitoring and testing of their compliance program.

We offer senior-level compliance expertise to help you anticipate and navigate risks and ensure compliance with applicable laws, rules and regulations. We serve a broad range of clients, including traditional advisers, investment advisers to private funds, registered funds, internet advisers, and exempt reporting advisers.

How We Can Help

With over 275 years of cumulative financial services experience, the Alaric Compliance team has completed more than 100 exams as CCOs, and 500+ reviews and exams as regulators and advisors. Our solutions are tailored to meet clients’ specific needs, and are built on a longstanding foundation of experience and quality controlled processes.

We have the proven skill set to help investment advisers test, manage and monitor their compliance programs before issues turn into violations. We can chaperone scheduled or surprise audits, tests and examinations and leverage our proven procedures and technology platform to monitor ongoing activities.

Services

Full Chief Compliance Officer Outsourcing


New Advisers and Start-ups

  • SEC Registration Services
  • Gap Analysis and Risk Assessments
  • Compliance Policy and Procedures Development
  • Code of Ethics Development
  • Compliance Calendar and Testing Program Development
  • Compliance Orientation and Training
  • CFTC/NFA Registration Services

Ongoing Compliance Program Support

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

Examinations and Reviews

  • Regulatory Examination Support and Deficiency Response
  • Mock SEC Examinations
  • Rule 206 (4)-7 Annual Compliance Reviews
  • Focused Reviews
  • Compliance Program Reviews
  • Risk Assessments
  • DOL Fiduciary Rule Reviews, Analysis and other Related Compliance Consulting
  • Anti-Money Laundering Rule Reviews

Post-Litigation Support

Alaric has the reputation and expertise to serve as the compliance consultant in settled SEC administrative enforcement proceedings.


Expert Witness Services

If you are an advisor to multiple clients types, e.g., a mutual fund and a hedge fund or a BDC and a private fund, you really have to concentrate on the conflicts of interest that may arise...”
- Guy F. Talarico, CEO & Founder, Alaric Compliance Services

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