VIEW ALL SERVICES
HIDE ALL SERVICES

Regulatory Compliance & Audit

for Asset Owners

Navigating the complex and ever-changing regulatory landscape is a challenge.

Failure to stay current can lead to unnecessary costs and fines, but compliance efforts can drain resources. Our team offers program analysis, improvement recommendations and implementation guidelines to help you meet regulatory requirements and conform with industry best practices—without detracting from your business operations

The result will be a compliance program customized for your unique organizational structure and stakeholder expectations.

Our Services
Compliance Program Design & Implementation
Asset Owners

Asset owners devote considerable time to evaluating the governance, risk, compliance and operations of their external fund managers. As a result, they are often short on the resources they need to manage their own compliance program. Our specialists have the experience to help. Whether you’re starting from scratch or need confirmation that your compliance program is operating on all cylinders—we can:

  • Streamline your practices, policies and procedures
  • Ensure consistency across your organization
  • Factor in your specific budget and resource constraints.

Our professionals will work with your organization to create a strong control environment
centered around the following:

Comprehensive Risk Assessments

Many organizations lack a core methodology for identifying key risks and determining their potential impact. We offer Compliance Risk Assessments that will be tailored to your needs. Our team can help you uncover legal and/or regulatory compliance risks that could impact management’s ability to achieve its strategic objectives.

Tailored Written Policies & Procedures

A robust, effective compliance program has written policies and procedures (WPPs) that describe acceptable behaviors and business practices for covered individuals and entities. WPPs must be clear, concise and capable of being followed on a regular and consistent basis across the entire organization. Our experts will work with you to design WPPs that are practical and commercial, so that you can prevent, detect and correct violations of applicable rules, laws and regulations—while also achieving strategic objectives.

Dynamic Monitoring & Forensic Testing

For a compliance program to remain effective, it must be reviewed and monitored on an ongoing basis. Forensic testing is an essential component of these reviews. Our specialists have designed and implemented monitoring and testing programs at some of the largest global banks, private funds, investment advisers and regulatory bodies—we can:

  • Review the scope and diversity of your monitoring and testing program to ensure alignment with the size and
    complexity of your business activities
  • Formulate a balanced mix of transactional, periodic and forensic tests designed to detect and prevent legal and
    regulatory violations
  • Recommend enhancements to existing programs based on new regulatory developments, industry best practices and emerging risks.
Robust Annual Compliance Reviews

Our team conducts independent annual compliance reviews with minimal business disruption. At the same time, we gather and compile relevant supporting documentation and prepare a written report to provide transparency and assurance of the independent review to your key stakeholders.

Customized Compliance Training & Education | THE PRACTICAL CCO

The practical application of compliance rules and regulations varies between and among an organization’s business units, employees and affiliates. That’s why we created THE PRACTICAL CCO—our proprietary training program that helps organizations deliver, document and maximize the impact of their training initiatives. Your compliance training program will be comprehensive, efficient and practical, as well as tailored to the responsibilities and business activities of:

  • Newly hired employees
  • C-suite executives and senior management
  • Managers and supervisors
  • Employees (firm-wide annual training)
  • Board directors
  • Board committees
  • Consultants and other non-employees.

Many organizations lack a core methodology for identifying key risks and determining their potential impact. We offer Compliance Risk Assessments that will be tailored to your needs. Our team can help you uncover legal and/or regulatory compliance risks that could impact management’s ability to achieve its strategic objectives.

A robust, effective compliance program has written policies and procedures (WPPs) that describe acceptable behaviors and business practices for covered individuals and entities. WPPs must be clear, concise and capable of being followed on a regular and consistent basis across the entire organization. Our experts will work with you to design WPPs that are practical and commercial, so that you can prevent, detect and correct violations of applicable rules, laws and regulations—while also achieving strategic objectives.

For a compliance program to remain effective, it must be reviewed and monitored on an ongoing basis. Forensic testing is an essential component of these reviews. Our specialists have designed and implemented monitoring and testing programs at some of the largest global banks, private funds, investment advisers and regulatory bodies—we can:

  • Review the scope and diversity of your monitoring and testing program to ensure alignment with the size and
    complexity of your business activities
  • Formulate a balanced mix of transactional, periodic and forensic tests designed to detect and prevent legal and
    regulatory violations
  • Recommend enhancements to existing programs based on new regulatory developments, industry best practices and emerging risks.

Our team conducts independent annual compliance reviews with minimal business disruption. At the same time, we gather and compile relevant supporting documentation and prepare a written report to provide transparency and assurance of the independent review to your key stakeholders.

The practical application of compliance rules and regulations varies between and among an organization’s business units, employees and affiliates. That’s why we created THE PRACTICAL CCO—our proprietary training program that helps organizations deliver, document and maximize the impact of their training initiatives. Your compliance training program will be comprehensive, efficient and practical, as well as tailored to the responsibilities and business activities of:

  • Newly hired employees
  • C-suite executives and senior management
  • Managers and supervisors
  • Employees (firm-wide annual training)
  • Board directors
  • Board committees
  • Consultants and other non-employees.
Compliance Program Audit
Asset Owners

Establishing and implementing an effective compliance program is crucial to the long-term success of your investment process. But monitoring and updating a compliance program is difficult when the management of assets takes priority. Constrained resources add to your challenge. At the same time, you must consider the concerns of your key stakeholders. Our skilled professionals can help you manage your compliance program—we will:

  • Quickly and accurately diagnose weaknesses in an existing program
  • Recommend enhancements to remedy omissions and limit exposure
  • Develop methodologies to identify and audit new and emerging risks.
Compliance Training & Education
The Practical CCO

The practical application of compliance rules and regulations varies within each organization. That’s why we created THE PRACTICAL CCO—our proprietary training program that helps asset owners deliver, document and maximize the impact of their training initiatives. Your compliance training program will be comprehensive, efficient and practical, as well as tailored to the responsibilities and business activities of:

  • Newly hired employees
  • Senior management and staff
  • Board committees, directors and trustees
  • Intermediaries
  • Consultants and other non-employees.
Outsourced Compliance Services

Asset owners face a unique set of compliance challenges. They face intense scrutiny from key stakeholders, including federal regulators such as the United States Securities and Exchange Commission (SEC) and Department of Justice (DOJ). Whether you need a long-term CCO solution or short-term CCO Support Services, our experienced and highly skilled professionals may be your answer—we can:

  • Design, implement and monitor an effective compliance control environment that includes: tailored written policies and procedures, dynamic monitoring and testing programs, robust Rule 206(4)-7 annual reviews and customized compliance training that targets different roles and functions across your organization
  • Prepare detailed quarterly compliance reports for senior management and C-suite executives, as well as board directors and trustees, that summarize compliance monitoring activities, compliance violations, new regulatory developments, applicable policy and procedure changes and other relevant compliance matters.

Schedule A
Consultation

Discover how ACTIVUS delivers practical solutions to real-world challenges.

Contact Us