Outsourced Compliance & Regulatory Reporting
Outsourced CCO
- Independent, experienced industry professionals can serve as your named CCO
- Onsite support for regulatory requests and inspections
Outsourced CFO and/or FINOP services
- Prepare, review, approve and file required regulatory reports, including FOCUS Reports
- Complete accounting support including financial statement preparation and analysis
- Client invoicing based on your billing model and frequency
Reporting
- Annual Compliance Report as required under Rule 206(4)-7 of the Investment Advisers Act of 1940
- Quarterly Management Updates
- Monthly Compliance Committee Reporting
- 13(h) and 13(f) SEC Reporting
Regulatory Compliance Support
- Prepare and file Forms ADV Part 1-A, ADV Part 2-A, ADV Part 2-B
- Prepare and file Form CRS and other required regulatory filings
- Review, monitor and test your KYC compliance program including AML and CDD
- Review, monitor and test your Best Execution and prepare quarterly reports
- Review and test your Business Continuity and Disaster Recovery Programs
Compliance Review
- Email review
- Develop, or review and update your Compliance Program including Code of Ethics, Solicitors, Custody, etc.
- Review of marketing materials, client presentations, websites, etc.
Fund Services
- Fund and portfolio administration and accounting
- Offer general guidance and information for private funds, funds-of funds, and mutual funds
- Assist with vendor due diligence including transfer agent, custodian, auditor and legal counsel
- Provide Fund Officer(s) including President and Fund CCO
- Review and filing of marketing material review
Ready to Accelerate Your Business?
TruEdge offers a full suite of solutions designed to streamline your operations and free up your time. From technology to portfolio management and back-office support, we’ve got you covered.