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Services

How Engagements are Structured

Engagements are tailored based on the scope of services, complexity of the business, and level of ongoing support required. Services may be delivered on a retainer basis or through project-based engagements, with flexibility to scale as the firm evolves.

Outsourced Chief Compliance Officer  

Ongoing, senior-level oversight of your compliance program, structured to align with SEC expectations and institutional standards. This role provides consistent guidance, accountability, and coordination across all aspects of compliance.

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Scope includes:

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  • Oversight and ongoing refinement of the compliance program

  • Direct engagement with senior management on compliance matters

  • Monitoring of regulatory developments and applicability to the firm

  • Coordination of compliance activities across business functions

  • Support in preparing for and responding to regulatory inquiries and examinations

  • Periodic reporting to management or governance bodies, as appropriate

SEC Readiness & Examination Support

Ongoing, senior-level oversight of your compliance program, structured to align with SEC expectations and institutional standards. This role provides consistent guidance, accountability, and coordination across all aspects of compliance.

​

Scope includes:

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  • Oversight and ongoing refinement of the compliance program

  • Direct engagement with senior management on compliance matters

  • Monitoring of regulatory developments and applicability to the firm

  • Coordination of compliance activities across business functions

  • Support in preparing for and responding to regulatory inquiries and examinations

  • Periodic reporting to management or governance bodies, as appropriate

Compliance Program Design & Enhancement

Development and refinement of compliance frameworks tailored to the firm’s strategy, structure, and stage of growth.
 

Scope includes:
 

  • Drafting and updating compliance manuals and core policies

  • Structuring compliance frameworks aligned with Rule 206(4)-7 under the Investment Advisers Act

  • Integration of compliance processes into day-to-day operations

  • Development of procedures for monitoring, testing, and escalation

  • Alignment of policies with institutional investor expectations

Regulatory Filings & Disclosure Oversight

Review and oversight of regulatory filings and investor-facing disclosures to ensure accuracy, consistency, and alignment with applicable requirements.

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Scope includes:

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  • Preparation and review of Form ADV, Form PF and related filings

  • Oversight of updates and amendments to regulatory disclosures

  • Review of investor communications for consistency with disclosures

  • Coordination of disclosure updates in response to business changes

  • Identification and remediation of inconsistencies across documents

Ongoing Advisory

Day-to-day access to senior compliance guidance on regulatory questions, business initiatives, and emerging risks.
 

Scope includes:

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  • Interpretation of regulatory requirements in practical business contexts

  • Review of new initiatives, products, or strategies from a compliance perspective

  • Guidance on marketing materials and investor communications

  • Support on ad hoc compliance questions as they arise

  • Ongoing identification of emerging regulatory and operational risks

Governance, MNPI & Conflicts Frameworks
 

Design and implementation of governance structures and controls addressing material non-public information, conflicts of interest, and decision-making processes.
 

Scope includes:
 

  • Development of MNPI controls and information barrier frameworks

  • Identification and documentation of conflicts of interest

  • Design of governance structures to support oversight and accountability

  • Implementation of procedures for managing and disclosing conflicts

  • Guidance on documentation of investment decisions and approvals

Bespoke Solutions

We also undertake targeted, bespoke engagements—such as mock SEC examinations, Regulation S-P reviews, and other limited-scope assessments—where focused support is required.

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