Clients engage Alaric Compliance because of our ability to provide trusted, customized and effective compliance solutions. The source of our strength is:
The Quality of Our People
Our team of industry-leading compliance professionals is comprised of former regulators, in-house compliance officers and attorneys, all of whom bring a strong focus on training and professional development. Collectively, we have more than 275 years of compliance and financial services experience across all asset classes and investment strategies.
Knowledge of Best Practices
Through our participation in more than 100 regulatory examinations as CCOs, we are in the unique position of understanding current regulatory trends and having the hands-on experience to help clients develop and manage effective compliance programs to identify issues before they become violations.
The Expertise of our Consultants
Alaric offers a range of consulting services that help clients develop, manage and monitor their compliance programs. We have served as the expert witness in compliance-related judicial proceedings. Whether you are looking for consulting and guidance on industry best practices, interpretation of the rules and regulations, industry training, or a hands-on practitioner, the Alaric Compliance approach affords clients the full confidence that only a tested, proven compliance services provider can offer.
Our Team Approach
Clients have access to our collective compliance consulting expertise, not just the experience of one individual. Our staff is comprised of former regulators, compliance officers and attorneys across asset classes and business types. So clients have access to the full breadth and depth of our combined insight.
We build customized compliance solutions by offering a proven, unbiased approach that is structured around each client’s specific requirements. Key service offerings include ongoing and independent compliance consulting; outsourced CCO service and support; mock SEC and FINRA examinations; monitoring and testing services; and compliance program assessment.
Our Diverse Client Base
Alaric works with a diversified and complex client base, from start-ups to mature businesses with more than $160 billion in AUM, including: registered investment companies and investment advisers; broker-dealers; banks; commodity trading advisers and pool operators; business development companies; open- and closed-end registered funds; exchange traded funds; hedge funds; funds of hedge funds; structured asset backed securities; private equity and other alternative funds; REITs and other real estate funds; family offices; exempt reporting advisers; internet advisers; and non-financial firms.
Independence and Transparency
Alaric offers clients an independent compliance program that is sheltered from undue influence or incentive structures.
The Quality and Value of Our Industry Relationships
Regular interaction with multiple ’40 Act law firms, industry groups and trade associations, prime brokers, accounting firms, valuation agents and others keep us current and knowledgeable.
Our Credibility as a Trusted and Dependable Partner
We have regular, in-person interactions with the CCOs and staff of our client firms, gaining a better understanding of their businesses to help identify potential problems before they become violations. We become integrated into the organization, often supplementing the management team with our compliance experts.