Registered Investment Advisers

Compliance4 offers numerous compliance service solutions, and each service solution provides a high level of service to investment advisers, mutual funds and Fund Boards with varying compliance needs.

Independent CCO Services
To assist investment advisers to maintain compliance with federal securities laws, Compliance4 delivers peace of mind by providing a experienced securities lawyer and compliance professional to serve as your independent Chief Compliance Officer to administer your Rule 206(4)-7. Compliance4 can assist in your CCO compliance efforts by providing:

» Serve as the named CCO for the adviser
» Preparation of your Annual Review 
» Provide quarterly reports to the CCO or Management
» Oversight of third party service providers
» Oversight of sub-advisers
» Design and testing of elements of your compliance program
» Recommend written policies and procedures best practices

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Deputy CCO Services for Registered Investment Advisers

 

Our Deputy CCO Service is a cost-effective solution which can assist your Chief Compliance Officer in administering the compliance program for the investment adviser.  This service is for advisers keeping the position of CCO in-house but who need additional compliance support.  Our Deputy CCO Service takes a hands-on approach to compliance by consulting with the Adviser's Chief Compliance Officer on compliance requirements and matters applicable to the Adviser with respect to compliance with the Investment Advisers Act of 1940, as amended, and rules and regulations promulgated thereunder, including, but not limited to Rule 206(4)-7. 

 

Compliance4 will provide a competent and experienced compliance professional who can serve as the adviser’s Deputy CCO.

Under the supervision of the Adviser’s CCO and reporting to the Chief Compliance Officer, our DCCO Service will provide oversight of the compliance functions of the investment adviser including compliance monitoring and testing related to Rule 206(4)-7. 

At the direction of the Adviser's CCO, such services include:

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Compliance and Operational Due Diligence Services

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We work with registered investment advisers seeking to purchase other RIAs.

To understand the bigger picture, we thoroughly discuss with the acquiring adviser’s business team and CCO to make sure primary compliance or regulatory concerns are completely understood.

We conduct individualized Due Diligence reviews based on the needs of the acquirer RIA CCO mandates.  

We provide timely Due Diligence reports based on the stated objective and needs of our client.

Our Due Diligence Service helps identify the weaknesses in the adviser’s compliance program or operations. We provide our findings, identify gaps, make recommendations and then we work with you to implement our suggestions, best practices or mitigate identified gaps.

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