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:
- Specialized Compliance Consulting
Alaric offers clients a deep bench in SEC, FINRA, and CFTC/NFA compliance experience and training in the areas of broker/dealer compliance, derivatives compliance, hedge funds compliance and compliance for investment advisors (both registered and unregistered) and investment companies.
- Outsourced Chief Compliance Officers (CCOs)
We provide qualified individuals to act as the CCO for many clients, becoming officers of our clients' firms on an outsourced basis. More clients turn to Alaric for outsourced CCOs than to any other firm.
- Outsourced Principal Financial Officers (PFOs)
Alaric can provide a qualified individual to serve as the PFO to help your firm comply with the certification requirements of Sarbanes Oxley.
- Independent Compliance Oversight and Monitoring
We offer clients the assurance of an independent and transparent compliance program that is sheltered from undue influence or incentive structures. An Alaric CCO can intervene to try to resolve problems before they become violations.
- Independent Compliance Consulting and Examinations
Many firms choose Alaric to build or enhance compliance programs. We provide customized solutions tailored to each client's business and specific regulatory obligations.
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.