Alaric can help in-house Chief Compliance Officers conduct Annual Reviews.

Alaric will organize and perform a comprehensive annual compliance program review, as required by the Investment Advisers Act Rule 206(4)-7 or the Investment Company Act Rule 38a-1, of the adequacy of coverage and effectiveness of implementation of our clients’ compliance programs.

Based on this independent assessment, Alaric will prepare a written report for the firm’s management on the scope, processes employed and material findings and recommendations resulting from the review.

Through our participation in more than 100 regulatory examinations as Chief Compliance Offices, the Alaric team is in the unique position of understanding current regulatory trends and having the hands-on experience to help clients identify issues before they become violations.

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