RCSI provides practical compliance solutions to your every day compliance needs.
Our team is made up of former Chief Compliance Officers with front line experience
with SEC exams and NFA inspections.
For the established Investment Advisor and Private Fund Managers, RCSI can assist
the Chief Compliance Officer by providing ongoing support to their current compliance
program. RCSI understands the challenges CCOs face in the current regulatory environment.
Compliance solutions for Investment Advisor, Hedge Fund or Private Equity Funds
include:
• Mock SEC and NFA exams
• Develop polices and procedures tailored to your business activities
• Annual Review 206(4)-7 with risk assessment and gap analysis
• Develop new policies and procedures based on current regulatory environment
• Employee Personal Trading Review
• Email review using your keyword lexicon and random searches
• Annual Compliance Training and employee attestations
• Develop conflicts of interest, matrix
• SEC and State Registrations
• IARD administration
• Act as liaison with the SEC or state securities regulators during inspections
• Marketing materials reviewed
• Provide a compliance calendar tailored to your compliance manual
• Anti Money Laundering Program Review
• Business Continuity Procedures
