Partners
Fund Service Providers
Do your clients need to:
- Employ a statutory distributor/principal underwriter?
- Engage a fund Chief Compliance Officer (CCO) or consultant for a current fund or adviser CCO?
- Engage a Principal Financial Officer (PFO) or Principal Executive Officer (PEO) or consultant for your current PFO or PEO?
- Engage an Anti-Money Laundering Officer (AMLO) or consultant for a current AMLO?
- Create, enhance, administer or review a fund or adviser compliance program?
- Create, enhance, administer or review broker-dealer policies and procedures?
- Create, enhance, administer or review Sarbanes-Oxley policies and procedures?
- Enhance or formalize valuation processes?
- Create, enhance, administer or review anti-money laundering policies and procedures?
- Perform active distribution?
- Engage a placement agent?
- Review sales and advertising materials for regulatory compliance?
Accounting Firms
Do your clients need to:
- Engage a Principal Financial Officer (PFO) or Principal Executive Officer (PEO) or consultant for your current PFO or PEO?
- Create, enhance, administer or review a fund or adviser compliance program?
- Create, enhance, administer or review broker-dealer policies and procedures?
- Create, enhance, administer or review Sarbanes-Oxley policies and procedures?
- Enhance or formalize valuation processes?
- Assist with oversight of the preparation of financial statements?
Law Firms
Do your clients need to:
- Gather assets for funds or managed account offerings?
- Evaluate market opportunities or marketing strategies?
- License registered representatives?
- Register with the SEC as an investment adviser?
- Form a broker-dealer?
- Engage a fund Chief Compliance Officer (CCO) or consultant for a current fund or adviser CCO?
- Engage a Principal Financial Officer (PFO) or Principal Executive Officer (PEO) or consultant for your current PFO or PEO?
- Engage an Anti-Money Laundering Officer (AMLO) or consultant for a current AMLO?
- Obtain mutual fund, exchange-traded fund, closed-end fund, unit investment trust or collective trust fund start-up advice?
- Obtain alternative investment fund start-up advice?
- Create, enhance, administer or review a fund or adviser compliance program?
- Create, enhance, administer or review broker-dealer policies and procedures?
- Create, enhance, administer or review Sarbanes-Oxley policies and procedures?
- Enhance or formalize valuation processes?
- Create, enhance, administer or review anti-money laundering policies and procedures?
- Engage a placement agent?
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