Mission: Working within the Investment Community to Make a Social Impact
Professional Background:
Executive with over ten years of compliance, trade support, operations, audit, business continuity, and related back office experience in the investment management/advisory industry.
Serving the Investment Advisors/Family Offices/Hedge Fund community
Consulting Services Offered:
Daily Check-Up for initial review**
Working with your Chief Compliance Officer
Providing updates on SEC Requirements
IARD Registration procedures/Filing with the State(s)/Cost Analysis
Analysis of Dodd-Frank compliance requirements
Creation of a Compliance Manual (Code of Ethics, Soft Dollars, etc)
Bu
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