Enable Optimal Compliance Processes, Reduce Costs, and Meet Commercial and Regulatory Needs
End-to-End Compliance solutions to drive operational efficiency and minimize risk.
Trusted by 150+ tech first enterprises
Navigate the Regulatory Landscape with Expert Compliance Services
niche player in the 2024 Gartner® Magic Quadrant™ for f&a
CES offers a comprehensive suite of compliance services and strategic oversight for alternative asset management companies. Our expertise covers investments, regulatory compliance, code of ethics, enterprise compliance, anti-money laundering, and other surveillance functions. We help improve standards, reduce risk, create operational efficiencies, and lower costs. Our compliance solutions are designed to meet your unique needs.
Key Offerings for Compliance Services
Our compliance services include:
Investment Compliance
Running pre-trade and post-trade compliance checks and clearing batch reports of transactions.
Regulatory Reporting
Preparing Treasury filings, Form ADV, and Form PF.
Surveillance
Conducting surveillance activities on firm and personal trades.
Code of Ethics
Assisting with code-related activities, including personal trading, outside business activities, political activities, gifts, meals, and entertainment.
Anti-Money Laundering (AML)
Onboarding new clients from an AML perspective and reviewing daily exceptions generated by AML systems.
Protection
Managing conflicts on deals and establishing information walls and restricted lists to protect MNPI.
Our Differentiators:
What Sets Us Apart
Deep Regulatory Expertise
Our team has extensive policymaking experience.
Comprehensive Solutions
End-to-end coverage of compliance needs.
Risk-Based Approach
Focusing on identifying and mitigating key risks.
Tailored Services
Customizing solutions to fit your specific requirements.
Proactive Compliance
Staying ahead of evolving regulations.
Our Approach to Compliance
We deliver value through:
Cost Efficiency
Reducing costs and risks with effective compliance services.
Expert Team
Eliminating the burden on in-house resources and infrastructure with our experts.
Process Optimization
Continuously optimizing the compliance process for seamless operations.
strategic client partner
Take the Next Step
Ensure optimal compliance, reduce costs, and meet regulatory needs with CES's expert compliance services. Contact us today to drive operational efficiency and minimize risk.
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