Strategic Advisory Services

Investment managers are subject to a regulatory and compliance regime that is filled with gray areas and landmines.  This has been exacerbated by the SEC’s new rules and rule making agenda.

Our team was at the forefront of private fund regulatory compliance while working at the SEC and we bring that perspective to our work.

We leverage our industry experience and regulatory judgement to help you review, test, design and implement simple, efficient and effective compliance programs. 

Our rigorous consulting process emphasizes developing a deep understanding of your business so we can make appropriate recommendations based on the specific risks you are facing and their potential impact on your business.

Services include:

• Mock audits and compliance assessments

• New rule reviews, gap assessments and implementation support

• Policy and procedure design and reengineering

• Conflict of interest review and mitigation

• Regulatory examination preparation, including Day One deck creation

• M&A due diligence

• Post-merger integration of investment managers

• Alternative data and data governance reviews

• Operational due diligence

• Compliance program cost analyses, management and optimization