Private fund manager compliance & operations
Scope of framework
- We offer investor or SEC ready compliance framework or augmentation across manual, processes, controls, support
- We offer best practices "enterprise wide or focused" review, gap analysis recommendation report, execution of recommendations
- We offer cost analysis, cost inefficiencies, counter-party risk analysis across counterparties and service providers
Gap analysis, recommendation or support across compliance manual, processes and controls
- Tailored to size of firm and team, benchmark to best practices processes and controls across front, middle and back office
- Enterprise level best practices diagnostic firm review, recommendation report analysis to close investor or regulator red flags
- Ad hoc, interim or ongoing collaborative executive support
- Fractional C-suite viable compliance support on a high level to project safety of assets relative to assets under management.
Exempt, State, SEC or NFA registered private fund advisers
- Enterprise wide or focused analysis of counterparties, operational or reputational risk
- Review and identify categories of potential conflicts and support the execution of processes and controls
- Expert guidance on the due diligence of outside managers;
- Effective methodologies, processes and controls to match investor concerns
- Separation of controls – see C level support for early stage to emerging managers
- The majority of studies show the higher failure compared to established Firms is often due to business mistakes rather than investment issues (Christany, Dauland Giraus).
- Red flags: top five reasons an investor will veto an investment, unwillingness to provide adequate transparency, inadequate or inappropriate compliance policies and procedures, poor separation of duties, inadequate personnel or lack or relevant experience in critical roles, inappropriate valuation policy (Annual Due Diligence Survey, Deutsche Bank).
