Private Equity Firm 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 can provide customized compliance solutions to help private equity firms comply with federal securities laws.

Alaric offers a wide range of customized compliance solutions for private equity firms ranging from consulting services to help your firm understand the regulatory environment and the relevance of new legislation to your operations, to providing an independent, experienced Chief Compliance Officer. Alaric can assist private equity clients with:

• Assignment of an experienced individual to serve as an outsourced Chief Compliance Officer
• Risk Assessment and gap analysis
• Conducting SEC "Mock" examinations.
• Registration with the SEC as an Investment Adviser.
• Design and implementation of a compliance program
• Oversight and Monitoring of existing compliance practices
• Compliance Training
• Consulting services

Newsroom

• October 2006
  Compliance Handoff: Hiring a Full-Time CCO is Proving Costly for Advisors and Funds, Which Are Now Outsourcing the Entire Compliance Department, Finance Tech
• September 2004
  The Playing Field: Compliance Zero Hour, originally published in Investor Advisor
• More News

Publications

• August 2007
  The Role and Responsibility of a Chief Compliance Officer, COMPLIANCE WATCH, wsj.com
• August 2004
  Outsourcing the Role of CCO, Compliance Corner
• More Publications