In recent years, we have seen the introduction of investment company products with new and differing investment strategies as well as an increase in regulatory initiatives impacting advisers who manage these products. This evolution has exerted additional pressure on investment company sponsors to engage knowledgeable compliance staff to help address the complex and continually changing regulatory requirements.

The experts at Alaric Compliance can help fill the talent gap. We have the experience and technology solutions that enable us to step in, even on short notice, to help investment companies navigate today’s complex regulatory environment.

Our clients include open and closed-end registered funds, exchange traded funds, and funds of mutual funds.

How We Can Help

The Alaric Compliance professionals have a deep understanding of the risks inherent in Investment Companies start-ups and ongoing management. We have the proven expertise to help clients navigate and anticipate compliance issues across the life cycle of funds they manage, including: initial fund registration and compliance procedures; ongoing fund management; marketing, advertising and client disclosures; as well as exams and testing.

Through our tested technology platform and proven processes, we provide a broad range of solutions to give you confidence that your compliance program meets industry best practices and regulatory requirements.

Services

Compliance Services for New Funds and/or Trust Platforms

  • Compliance Policy, Procedures and Process Development
  • Code of Ethics Development
  • CCO/Staff Compliance Orientation and Training
  • Independent Director Consulting Services
  • Gap Analysis
  • Full Chief Compliance Officer and Principal Financial Officer Outsourcing

Support for Chief Compliance Officers

  • Ongoing monitoring and testing of the Compliance Program
  • Testing matrices and Compliance calendars
  • Risk and Control Assessments

Examinations, Reviews and Testing

  • Rule 38a-1 Annual Compliance Reviews
  • Mock SEC Examinations
  • Focused Reviews
  • Due Diligence Reviews
  • Regulatory Examination Support and Remediation Consulting
  • Anti-Money Laundering Rule Reviews
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