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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 Webinar: 2015 SEC Examination Priorities for PE Firms
May 19th, 2015
12:30 to 1:30pm EST

ICI at 75 Facing the Future Meeting - Mutual Fund Compliance Programs
May 5-7th, 2015
Washington, D.C.

SEC Examination Priorities for PE Firms
Download the Webinar Slides (146KB .PPTX)
March 31, 2015


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

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