Partners and Vendors
Adviser Compliance Consulting Inc. (ACC) is a compliance consulting firm that provides pro-active compliance solutions to registered investment advisers, hedge funds, private funds, investment companies, private equity and financial professionals, including outsource CCO service. ACC has extensive experience in the global asset management industry, which includes over twenty years in the Investment Company/Investment Adviser and international compliance area.
Investment Adviser (Rule 206(4)-7), Investment Company (Rule 38a-1) and Private Fund Compliance Programs and Outsource CCO
Investment Company Act of 1940 Requirements
Anti-Money Laundering Programs for Investment Company, Investment Adviser and International Funds
Policies and Procedures, Annual Reviews, Mock SEC Examinations, Risk Assessments and Compliance Training
NFA registration of Commodity Pool Operator (CPO) and Commodity Trading Advisors (CTAs), NFA/CFTC compliance program development (including all required Written Supervisory Procedures/Compliance Manuals), compliance program maintenance, regulatory filings, annual reviews (completion of self- examination questionnaires), training of internal personnel regarding compliance requirements of CPOs/CTAs, Ethics Training required of Associated Persons of CPOs/CTAs, NFA audit preparation (mock audits) and audit assistance to CPOs and CTAs
International Compliance Program and UCIT regulatory requirements – (UK, Luxembourg, Ireland and Hong Kong)
Core Compliance & Legal Services, Inc.℠ specializes in compliance and risk management for the financial industry. When building and enhancing your business, it is essential to have dedicated resources to support and ensure your success. Core Compliance understands the complexities of the securities business and offers solutions based on the unique culture, identity and needs of your firm. We are driven by our excitement for the industry; committed to finding the most effective and innovative solutions for our clients. Contact us today to learn more about our offered services and to talk with a Core Compliance specialist!
HighCamp is a boutique consulting and outsourcing firm helmed by former SEC examiners. They specialize in regulatory compliance and operational support for SEC-registered alternative investment managers.
PhalanxFS is a leader in the preparation of audit-ready financial statements and supplementary information for investment partnership clients. Client base includes stand-alone, master-feeder, fund of funds and private equity funds with a broad range of trading strategies. The partners of PhalanxFS have extensive experience in fund management, audit and administration, which provides unique advantages to our statement preparation process.
As of 2019, service offerings have been expanded to include fund dissolution consulting and corporate accounting services, such as accounting system onboarding, corporate formation and structure consulting, budgeting, forecasting and expense integration management.
Sophos evolves to meet every new challenge, protecting more than 400,000 organizations of all sizes in more than 150 countries from today’s most advanced cyber threats. Powered by SophosLabs, our cloud-native and AI-enhanced solutions are able to adapt and evolve to secure endpoints and networks against never-before-seen cybercriminal tactics and techniques.