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Trusted Independent Compliance Solutions

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

Newsroom

November 17, 2015
Alaric Compliance Services Announces the Opening of Their New Boston Office

Events

September 7-8, 2016
Washington D. C.
Sutherland 14th Annual BDC Roundtable

September 26,2016
Boston, MA
IA Watch Commitment to
Compliance

September 28 -29, 2016
New York, NY
10th Annual Hedge Fund General Counsel and Compliance Officer Summit

Publications

November 2015
SEC Observations and Alaric
Practices Regarding CCO
Outsourcing

(PDF 76.6KB)

More Publications