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
Panel Discussion: Improving How You Manage Governance, Operational Risk and Compliance via Systems
SIFMA Conference Center
New York, NY
October 10, 2013
National Society of Compliance Professionals (NSCP) National Meeting
The Washington Hilton
October 21-23, 2013
September 19, 2014
Join Alaric, the SEC and Sutherland in a discussion on Whistleblower Laws