What we provide

• Fractional CCO support for early-stage, emerging or established asset managers
• Compliance manuals, policies, procedures, and controls — built new or benchmarked against best practices for your firm's size and structure
• Enterprise-wide or targeted gap analysis, with a recommendation report you can act on
• Cost and counterparty-risk analysis across your service providers

Why it matters

• Research consistently shows that newer fund managers are more likely to fail because of business and operational mistakes than investment performance. A Deutsche Bank due-diligence survey found the top reasons investors may veto an allocation are: inadequate transparency, weak compliance policies and procedures, poor separation of duties. A documented framework with skilled bespoke support can directly address each of these issues.

Why us

• We've built these frameworks from the inside, as GCs, CCOs and COOs — not just drafted them as outside counsel.
• Enterprise-wide or narrowly focused engagements, scaled to your firm's size and stage.
• Fractional, tier-one C-suite support that projects safety of assets to investors and regulators alike.
• We can proactively look at where your compliance framework stands before your next exam or investor due diligence allocation.
• Schedule a consultation with us.