We can provide an ongoing presence to support your in-house CCO, especially in those instances where the CCO is not a full time position or requires additional staff to fulfill the needs of the compliance program. We use electronic data interfaces and periodic on-site presence to perform such functions as:

Testing various compliance requirements
Providing the monthly, quarterly, and annual certifications
Providing or producing back-up documentation

These routine checks mean we can show that your firm is adhering to the compliance program. Let us help you prove to your clients, prospects and the SEC that you take compliance seriously.

Your ALARIC representative will meet regularly with management and staff to assess the control environment, conduct periodic testing, and create or modify policies in response to evolving regulation and your business needs. Your firm will have the records it needs and the processes in place to substantiate a true "culture of compliance."