We recognize that it is critical for firms to have customized compliance programs and to not rely on off-the-shelf templates. We approach each engagement by first taking the time to understand the unique intricacies of each of our clients and to develop custom solutions to address their pain points. We partner with our clients and take a hands-on approach to every engagement, working as a direct extension of their in-house team. As examples:
- We work as a project manager to ensure objectives are completed as scheduled by interacting and communicating with internal departments such as Operations, Performance, Marketing, Client Relations, Legal and Compliance, as well as external parties such as portfolio administrators and verifiers.
- We do the heavy lifting of documenting your policies and procedures and ensuring that they are consistent with actual practices implemented at your firm.
- When we review advertising materials, we not only provide feedback as to what must be included in order to comply with the SEC Marketing Rule or the GIPS standards, we also make suggestions about things that could be done to improve the materials above and beyond the requirements and, if desired, we make the updates directly to the materials.
- Learn more about Our Team