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Specialists in Regulatory Compliance

Alaric Compliance specializes in serving the SEC, FINRA, and CFTC/NFA regulatory compliance needs of the investment management community.

Our expertise, developed through experience with a broad range of industry participants (broker-dealers, investment advisors, hedge funds, registered investment companies), enables us to offer our clients significant expertise in regulatory compliance, and deep knowledge of compliance best practices. Our services include:

Alaric Compliance is cost-effective: we can offer our clients an entire team of experienced compliance professionals for a fraction of the cost to maintain a fully-staffed, in-house compliance department.

For Alaric Updates and Events

For immediate service, call 1.888.243.2448


NSCP National Meeting
Gaylord National Resort & Convention Center
201 Waterfront Street
National Harbor, MD
October 21, 2014


September 19, 2014
Join Alaric, the SEC and Sutherland in a discussion on Whistleblower Laws

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