Compliance and Operations Built to Survive an SEC Exam
What we provide
- 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
- Fractional compliance leadership for early-stage and emerging managers
Why it matters
- Research consistently shows that newer fund managers are more likely to fail because of business and operational mistakes than investment performance. And a Deutsche Bank due-diligence survey found the top reasons investors veto an allocation are: inadequate transparency, weak compliance policies and procedures, poor separation of duties, insufficient staffing, and inappropriate valuation practices. A documented, tested framework directly addresses each of these.
Why us
- We've built these frameworks from the inside, as 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.
- Want a clear-eyed look at where your compliance framework stands before your next exam or allocation?
- Schedule a consultation with us.
