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 immediate service, call 1.888.243.2448
NSCP Webinar: 2015 SEC Examination Priorities for PE Firms
May 19th, 2015
12:30 to 1:30pm EST
Webinar slides (583KB .PDF) and Recording
ICI at 75 Facing the Future Meeting - Mutual Fund Compliance Programs
May 5-7th, 2015
August 17, 2015
COMPLY-How Advisers Can Ramp Up For Compliance Review Checkups