Alaric Compliance offers a client-centric service model with a range of Turnkey Solutions that are easy to integrate. Our Turnkey Solutions are tailored to meet clients’ specific needs, and are built on the solid foundation of our extensive compliance experience.

Whether you are looking for time-tested technology, consulting on industry best practices, interpretation of the rules and regulations, industry training, or a hands-on practitioner to help you develop, manage or test your compliance program, the Alaric approach instills the confidence that only a proven compliance program can offer. These solutions can be combined with Alaric’s Technology Solutions.

How We Can Help

Alaric offers varying levels of compliance support for the administration of your compliance program based upon your firm’s budgetary considerations, and the compliance demands of your business.

Tier I — Basic Compliance Support

This is the basic level of compliance support for the compliance program required for your firm and includes:

  • Compliance Manual & Code of Ethics – Conduct periodic reviews of the Firm’s compliance policies and procedures and edit, revise and/or create policies and procedures as necessary to satisfy current SEC rules and regulations, industry best practices and other relevant securities laws.
  • Annual Review of the Compliance Program – Organize and perform a comprehensive review, (as required by the Investment Advisers Act Rule 206(4)-7 or the Investment Company Act Rule 38a-1) on an annual basis, of the adequacy of coverage and effectiveness of implementation of the Firm’s compliance program. Prepare a written report for Management on the scope, processes employed and material findings and recommendations resulting from the review.
  • Hourly Consulting Support – Provide 50 hours of telephone and email consulting support to address questions related to the Firm’s compliance program and other compliance matters.
  • Monthly Call or Meeting with the CCO or Designee

Tier II — Core Compliance Support

Tier II support extends the offering of Tier I and adds core program support enhancements; Personal Trading and Code of Ethics Administration; Form ADV Maintenance; and Web based Training.

  • Personal Trading and Code of Ethics – Alaric will support the administration of the Code of Ethics using a custom software solution including: pre-trade clearance for all security types and sub-types, ongoing trade surveillance vs. trading restrictions, unusual trading patterns alerting, pre-clearance and reporting of gifts, entertainment and outside business activities, political contributions tracking, dynamic forms and documents with rules and alerts based on answers including certifications and attestations, and full audit trails, automated statement tracking, and manual data entry service for paper statements.
  • Form ADV Maintenance – Review and file the annual and other required amendments to the Firm’s Form ADV Part 1, Part 2A and Part B filing on the IARD system.
  • Web Based Staff Training – Provide initial hire compliance training and firm-wide annual compliance training regarding the Firm’s code of ethics, insider trading and other key compliance policies and procedures for the Firm’s associated personnel.

Tier III — Premier Compliance Support

Tier III support extends the offering of Tier I and Tier II core program support enhancements and adds: Periodic Monitoring, Testing and Review of the Compliance Program; and Regulatory Examination Assistance for Onsite Examinations.

  • Periodic Monitoring and Review of the Compliance Program – Perform and document web based review and monitoring of key operational processes and controls, as appropriate to the circumstances or as described in the Compliance Testing Matrix.
  • Regulatory Examination Assistance for On-site Examination – Provide up to 10 hours of assistance in the preparation and response to any regulatory examinations, inquiries or sweeps.

Tier IV — Hourly Retainer Services

Tier IV will provide hourly telephone and email consulting support.

  • Hourly Consulting Support – Provide 50 hours of telephone and email consulting support to address questions related to the Firm’s compliance program and other compliance matters.
  • Monthly call or meeting with the CCO or designee

Tier V — Full Outsourced Chief Compliance Officer Support

This is the ultimate level of service that Alaric offers. Details on the scope and the fees can be provided in a separate proposal.

Related Services

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The reasons for going to a third party compliance firm are cost-effectiveness, expertise and giving your firm the ability to focus on what you do best.”
- Guy F. Talarico, CEO & Founder, Alaric Compliance Services
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