CONTACT US
Our Global Regulatory Compliance team assists major financial institutions in the ever-changing regulatory compliance environment.

GCRS - Asset Management

Regulators around the globe are focused on enforcing comprehensive rules in an effort to improve transparency of the global financial system and reduce systemic risk.  

We provide advisory services and compliance outsourcing options to all types of  asset managers and would like to speak to you about the following topics:

  • Form ADV Changes
  • MiFID II Compliance
  • ERISA Compliance and QPAM Audits
  • Liquidity Management
  • Suitability and Sales Practices
  • Financial Crime and Anti-Money Laundering
  • Business Continuity & Transition Planning
  • Conflicts of Interest
  • Allocation of Fees and Expenses
  • Cyber Security