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Compliance Check-Up

Compliance4 provides a full suite of practical, cost–effective compliance solutions to investment advisers, investment companies, fund boards and private fund managers on a one-time or recurring basis.  Compliance4 also offers a "Compliance Check-Up" with a “Compliance RX”.

Our Compliance Check-Up involves an onsite visit to conduct a baseline compliance "health" screening of your compliance program to help you maximize the organizational value of your compliance efforts.


The Compliance Check-Up includes interviews with senior management and select employees to assess the Tone at the Top and to tap into the collective operational and compliance intelligence of your firm.

Our Compliance Check-Up results in a "Compliance Diagnosis" which will document our findings and recommendations in the form of a written comprehensive "Compliance RX" report including a telephonic meeting that prescribes our findings and recommendations.

Our Compliance Check-Up Screening includes:

  • Review Your Compliance Manual for Customization to your Business Practices

  • Refresh and Update Your Code of Ethics

  • Review and Update Your Risk Assessment

  • Review the Accuracy of Disclosures

  • Review Your Conflicts of Interest

  • Review Your Trading Practices

  • Review Your Custody Practices

  • Review Your Advertising Disclosures and Marketing Practices

  • Evaluate Your Business Continuity Plan

  • Review the Production of Your Books and Records


COMPLIANCE4’s Compliance Check-Up is a quick and efficient way of diagnosing the well-being of your firm’s compliance program from both a best practice and regulatory perspective.

Our "Compliance RX" report typically notes compliance activities done right while suggesting prescriptive compliance improvements for the overall health of your compliance program. We draw upon our experience, regulatory guidance and industry best practices to help you protect your firm in advance of a regulatory examination.


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