Adviser consulting
Practical compliance solutions for fund managers and investment advisers
As a registered investment adviser, you have certain compliance obligations to follow – regardless of whether you’re exempted or must register with the SEC, while the obligations differ, it’s important to understand what’s required in your business processes.
Relying on outside advisers for compliance related functions is a cost-effective alternative to hiring dedicated compliance resources or assigning the duties to current staff for established and emerging managers. By leveraging external advisers, you benefit from experts steeped in industry best practices and current compliance regulations.
Registration support & compliance methodologies
Depending on the nature and size of your business, you may need to register with the SEC, CFTC and/or the NFA. Manexs evaluates your business and determines whether registration is required or whether applicable exemptions are available.
We follow a detailed roadmap for the registration process, ensuring an organized and efficient process. Concurrent with registration, we work with you to install the framework needed on day one of registration.
Our Ongoing support and advisory services include:
- Compliance Program Reviews
- Risk assessments and regulatory gap analyses
- Portfolio Management reviews
- Code of ethics/personal trading reviews
- Investment allocation and trading reviews
- Financial crime/anti-money laundering reviews
- Cybersecurity
- Specialized reviews and compliance assessments
- Annual and ongoing reviews of compliance arrangements, systems and controls
- Marketing and advertising review
- Mock regulatory audits, pre-enforcement and supervisory reviews
- Support with on-site regulator visits, examinations and enforcement investigations
- Regulatory and compliance training
