Asset Managers
We understand how to tailor your compliance program to the specific needs of your business.
Be Exam Ready
Confidently respond to requests from investors and regulators with the results of a Compliance Health Check. We provide more than the standard “mock exam.” Our compliance professionals conduct in-depth assessments in areas such as:
- Fee Calculations and Expenses Allocations
- Conflict Identification and Disclosure
- Investment Allocations
- Data Protection, Cybersecurity & Investor Privacy
- Code of Ethics
- Additional areas of concern across the compliance framework
Automate and Reduce Cost of Compliance
Reduce the cost of compliance by identifying opportunities to automate manual processes and leverage technology to increase efficiency of the compliance function.
Focus on the Business
We provide various outsourced services to help monitor and manage compliance risks, to give executives the confidence needed to focus on managing other areas of the business.
Compliance Automation
Compliance Health Check
Compliance Support
Regulatory Compliance Insights
Resources to help you prepare and stay on top of a fast-moving SEC regulatory environment.
What's on Your Mind?
Louis Bruno
Louis Bruno in Regulatory and Compliance Services has over 15 years of experience in assisting hedge funds, broker-dealers, private wealth managers and multinational corporate banks with strategic and regulatory change management initiatives.
Start a conversation with Louis