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Compliance Solutions for Asset Managers

We understand your business and the right approach to complying with the regulations.

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 audit team conducts a forensic assessment in areas such as:

  • Fee Calculations and Expenses Allocations
  • Conflict Identification and Disclosure
  • Investment Allocations
  • Data Protection, Cybersecurity & Investor Privacy

Automate and Reduce Cost of Compliance

Reduce the cost of compliance by automating manual processes, eliminating spreadsheets, and managing risks using the EisnerAmper (EA) Compliance Desk technology platform.

Focus on the Business

We provide various outsourced services to help monitor risks so the compliance officer (who may also be the CFO or COO) can focus on managing other areas of the business.

Compliance Automation

Smarter Compliance

EisnerAmper Compliance Desk technology replaces limited single-solution technology applications, error prone spreadsheets and manual processes.

Automate manual compliance activities, capture the required data, monitor the compliance framework to comply with: 

  • Personal Trading
  • Political Contributions
  • Gifts & Entertainment
  • Certifications
  • Marketing Review
  • Record Retention
  • Expert Network
  • Training

Compliance Health Check

Deep-Dive Risk Assessments

Our team leverages a collective knowledge of regulations, asset management experience and forensic audit capabilities to accurately identify compliance risks.

Validate Policy: Determine if the Compliance Manual and Code of Ethics accurately align to the business activities.

Test Controls: Review internal activities, external vendor services and data to verify compliance with the policies.

Benchmark Best Practices: Provide recommendations to comply with the regulations and industry best practices.

Compliance Support

Ongoing Support

Our compliance specialists can help support the program with ongoing policy maintenance, control monitoring, training and other services.

Compliance Manual Maintenance: Update policy to align with changes in business activities, investors, affiliations or regulations.

Anti-Money Laundering: Document investor Know-Your-Client procedures and monitor risks for funds based in the U.S. and Cayman Islands.

Cybersecurity & Data Privacy:  Identify cyber threats and monitor controls to protect investor data.

Trade Reporting: Review and submit 13F and 13G reports to the SEC as required.

Communications Monitoring: Review marketing material, emails and social media communications, etc.

What's on Your Mind?

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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

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