Compliance Services
Compliance solutions with a risk-based approach by exercising high Integrity.
We offer a comprehensive end-to-end suite of compliance services and strategic oversight for alternative asset management companies. It includes Investments, Regulatory Compliance, Code of Ethics, Enterprise Compliance, Anti Money laundering, and other surveillance functions. Our services help improve standards, reduce risk, create operational efficiencies, and bring cost reductions.
Key Offerings for Compliance Services
Investment Compliance
Running pre-trade and post-trade compliance and clearing the batch reports of transactions that run through the compliance systems.
Regulatory Reporting
Preparing the Treasury filings, Form ADV, and Form PF.
Surveillance
Run various surveillance activities surrounding the firm trades and personal trades.
Code of Ethics
Helping with code-related activities like personal trading, outside business activities, political activities, gifts, meals, and entertainment.
Anti-Money Laundering
Onboard new clients from an AML perspective and review the daily exceptions created by the AML systems.
Protection
Run conflicts on the deals and help erect various information walls and restrict names to protect MNPI.
How We Deliver Value?
Cost Efficiency
Reduce costs and risks with effective compliance services.
Experts
Eliminate the burden on in-house resources and infrastructure with experts.
Process Optimization
Continuous process optimization for seamless end-to-end compliance process.
End-to-End Compliance solutions to drive operational efficiency and minimize risk.