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Compliance4 Service Solutions

Compliance4 provides a full suite of practical, cost–effective compliance solutions to investment advisers, investment companies, private funds, mutual funds, ETFs, fund boards and hedge fund managers on a one-time or recurring basis.

Our Services include, but are not limited to:

  • Serve as your Fund or Adviser’s Independent Chief Compliance Officer

  • Design and implement Rule 38a-1 or Rule 206(4)-7 Compliance Programs

  • Mutual Fund Launch and Vendor or Service Provider Selection Services

  • Conduct Oversight of Service Providers and Sub-Advisers

  • Prepare Quarterly and Annual Rule 38a-1 Annual Compliance Reports

  • Provide Adviser Deputy CCO Support Services

  • Prepare Annual Adviser Rule 206(4)-7 Compliance Reviews

  • Compliance Program Testing and Evaluation Assistance

  • Prepare Risk Assessments and Gap Analysis of Relevant Business Activities and Functional Areas

  • Conduct SEC Mock Examinations

  • Support a “Culture of Compliance” through Training and On-Going Support

  • Code of Ethics and Personal Trading Review

  • Best Execution, Pricing and Valuation Review

  • Soft Dollar Arrangements

  • Proxy Voting Disclosures and Procedures

  • Anti-Money Laundering Review

  • Business Continuity Plan, Cybersecurity and Privacy Policy Assessments

  • Required Books and Records Review

  • Electronic Communications Review

  • Social Media Consulting and Review

  • Compliance Health Check-Up: Evaluation of Operational Effectiveness of Select Policies and Controls


Compliance4 offers a wealth of legal, CCO, mutual fund compliance, investment adviser and broker-dealer experience. Compliance4 provides you the ability to continue to focus on your core business of investing with the security and confidence that your Fund's or your adviser's compliance responsibilities are being met.

We welcome the opportunity to speak with you. | 207-747-5934

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