Regulatory Compliance
Navigate complex regulatory landscapes with confidence.
Compliance Excellence
We regularly counsel investment companies, investment advisers, distributors and other service providers on compliance issues, examinations and inspections. Our team has significant experience dealing with regulatory matters across multiple jurisdictions.
We draft and assist firms in preparing or revising their compliance manuals, policies and procedures. Our proactive approach helps clients stay ahead of regulatory changes and maintain the highest standards of compliance.
- Compliance program design
- Policy and procedure drafting
- Regulatory examination support
- Risk assessments
- Training and education
- Cross-border compliance
Compliance Services
Comprehensive regulatory support for financial services firms.
Investment Company Compliance
Full compliance support for mutual funds, closed-end funds, and ETFs including rule 38a-1 compliance, board reporting, and proxy voting oversight.
Investment Adviser Compliance
Adviser compliance programs, Form ADV preparation, custody rule compliance, and performance advertising review.
Broker-Dealer Compliance
Supervision procedures, suitability analysis, anti-money laundering programs, and trade surveillance.
Examination Support
Pre-examination readiness reviews, examination response management, and deficiency remediation.
International Compliance
Cross-border regulatory analysis, UCITS compliance, AIFMD compliance, and emerging market regulations.
AML & Fraud Prevention
Anti-money laundering program design, customer due diligence, suspicious activity monitoring, and fraud detection frameworks.