Compliance Capital is a highly specialized compliance consulting firm dedicated to serving the unique needs of Private Fund Investment Advisers.
Providing in-depth expertise across a complete range of Private Equity Funds, Real Estate Funds and Hedge Funds, we offer outsourced CCO service or support to in-house CCO's including:
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.
Regulatory Filings - Assist clients with drafting and filing Form ADV and Form PF.
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.
Systems Support - Assist with administration, maintenance and reviews of e-mail and personal securities transactions through third party systems (ie. Global Relay, SMARSH, Schwab Compliance Technologies).
Training - Design and deliver customized firm-wide compliance training or CCO training.
SEC Exams - Proactively prepare for and assist clients through all stages of an SEC examination.
Company Details
- Employees
- 1
- Founded
- -
- Address
- Of Campaign And Political Finance
- Industry
- Financial Services
- NAICS
-
Finance and InsuranceMonetary Authorities-Central Bank
- Website
- complicap.com
- Keywords
- Follow.
Compliance Capital, Llc Questions
Compliance Capital, Llc's website is complicap.com
Compliance Capital, Llc's LinkedIn profile is https://www.linkedin.com/company/compliance-capital-llc
Compliance Capital, Llc has
1 employees.
View email and phone details for 1
employees at Compliance Capital, Llc.
Compliance Capital, Llc's industry is
Financial Services
Compliance Capital, Llc's top competitors are
Ifnotnow,
Upper Left Strategies,
Capitol Compliance Associates, Inc.,
Ma Office Of Campaign And Political Finance,
Flince Research + Design,
Premier Political Compliance,
Inside Lowell,
L&s Consulting,
Katz Compliance,
Capitol Compliance Management.
Compliance Capital, Llc's categories are Financial Services
Compliance Capital, Llc's founding year is 2016
