About Compliance Capital

Compliance Capital provides outsourced compliance consulting support services to the asset management industry with specialized expertise supporting the unique needs of Private Fund Investment Advisers. We understand the fundamentally different business characteristics and regulatory complexities faced by entrepreneurial clients and leverage hands-on experience and extensive expertise to help clients efficiently and effectively manage evolving regulatory requirements while achieving business objectives. 

Our Services:

Compliance Capital offers outsourced Chief Compliance Officer services and support to in- house Chief Compliance Officers including, but not limited to: 

On-Site Reviews - Conduct Annual Compliance Reviews required pursuant to Rule 206(4)-7, Risk Assessments, Independent AML Reviews, Due Diligence Reviews and Mock SEC Audits. 

Policies & Procedures - Design and implement customized compliance Policies and Procedures, Code of Ethics, Insider Trading Policies, and Business Continuity Programs (BCP). Enhance existing policies and procedures as may become necessary due to new rules and regulations or changes in client business. 

Marketing / Promotional Materials- Review marketing materials, including company website, social media, pitch book, RFP's and due diligence questionnaires (DDQ's). Implement effective internal review framework and collaborate with Investor Relations. Provide guidance with dealing with the press. 

Books & Records - Design and implement books and records protocols to help ensure compliance with retention requirements and facilitate efficient production during internal reviews and regulatory examinations. 

Administrative Support - Assist with administration, maintenance and reviews of e-mail and personal securities transactions. 

 Training - Design and deliver customized firm-wide compliance training and CCO training.​ 

SEC Exams- Assist clients through all stages of an SEC examination process. 

Contact Us For More Information

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