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
September 7-8, 2016
Washington D. C.
Sutherland 14th Annual BDC Roundtable
IA Watch Commitment to
September 28 -29, 2016
New York, NY
10th Annual Hedge Fund General Counsel and Compliance Officer Summit
SEC Observations and Alaric
Practices Regarding CCO