Cost-effective, regulatory compliance solutions.
Reuters, January 18, 2012
Original article by Suzanne Barlyn
Guy Talarico, CEO of Alaric Compliance Services was quoted in Reuters HedgeWorld. The article, “Advice For Latecomers to Hedge Fund Registration,” (PDF 34Kb) dated January 18, 2012, discusses how Hedge Fund advisers are scrambling to meet the registration deadline under the new rules of the Dodd-Frank financial reform law.
Thomson Reuters News & Insight, October 14, 2011
Guy Talarico, CEO of Alaric Compliance Services was quoted in Thomson Reuters News & Insight. The article, “COMPLY: SEC Wants CEOs to Talk Compliance,” dated October 14, 2011 discusses how requiring chief executives to participate in routine SEC examinations “makes them more accountable,” says Guy Talarico, Founder and Chief Executive Officer of Alaric Compliance Services, LLC, a New York-based consulting firm. “You don’t want the entire burden falling on the shoulders of the CCO.”
Time’s Running Out For New Disclosure 3/18/2011 8:45:16 AM
By Suzanne Barlyn, Dow Jones
A new type of disclosure brochure is due at the SEC by March 31 for most registered investment advisers. Dow Jones columnist Suzanne Barlyn speaks with Guy Talarico, chief executive of Alaric Compliance Services about finishing the task during the final countdown.
Earlier this week, Guy Talarico, CEO and Founder of Alaric Compliance Services announced with great sadness, the sudden and tragic passing of our young friend and colleague, Michael DiMaria. Visiting Hours will be Wednesday and Thursday from 2 to 5 p.m. and 7 to 9 p.m. at Dalton Funeral Home, 47 Jerusalem Avenue in Hicksville, New York, 516-931-0262. A funeral Mass is at 10 a.m. Friday at Holly Family Church, 17 Fordham Avenue in Hicksville, 516-939-3846.
Developing an effective compliance program is one step that hedge fund advisers can take now to prepare for the likelihood of future regulation. Dow Jones Compliance Watch columnist, Suzanne Barlyn, speaks with Guy Talarico, chief executive of Alaric Compliance, about getting started.
Answering the SEC’s New Questionnaire 4/7/2010 10:43:21 AM
By Richard Joyce, WSJ.com
The SEC recently began sending a questionnaire to newly-registered hedge fund advisers. Guy Talarico, chief executive of Alaric Compliance, talks to columnist Suzanne Barlyn about what to expect and how advisers should respond.
Dow Jones, September 22, 2009
Guy Talarico, CEO and founder of Alaric Compliance Services was quoted in an article about the focus of investors in the post-Madoff world. “A year ago, investors were looking at performance. Now they are looking at back office functions and service providers”. They are investigating the business end of the hedge fund, known as operational due diligence, which is not a new process, but is now being conducted with more rigor and vigilance.
The full article is no longer available at WSJ.com.
Dow Jones Newswires, June 9, 2009
Confirming valuations of securities with more than one source has become a best practice among many investment advisors – and one that could become more prevalent if the SEC’s proposal, which would make third-party verification mandatory, is implemented. Guy F. Talarico, CEO of Alaric Compliance Services, LLC, was quoted as saying “without third party review, investors run the risk that investments aren’t being reported accurately….There have to be counterweights.”
NEW YORK, May 31, 2009: James T. Detmer, a 28-year financial services manufacturing, distribution and regulation veteran, joins Alaric.
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| U.S. Congressman Scott Garrett (R-NJ) with Guy F. Talarico, Founder and CEO Alaric Compliance Services, LLC |
NEW YORK, May 27, 2009: Alaric Compliance Services and Financial Tracking Technologies hosted a town hall meeting at the Penn Club in New York City on May 27, featuring Congressman Scott Garrett (R-NJ). Congressman Garrett is the Ranking Member of the Subcommittee on Capital Markets, Insurance and Government-Sponsored Enterprises for the House Financial Services Committee, which has jurisdiction over the SEC, Fannie Mae and Freddie Mac.
Guy F. Talarico, founder and CEO of Alaric, said: “Congressman Garrett gave our attendees a unique insider’s view of the complex issues the Subcommittee is addressing. Their agenda extends through June, with hearings, forums and discussions. He described it as a thorough, cohesive, bi-partisan approach to enacting meaningful, comprehensive regulatory reform. They clearly want to avoid pushing through tactical reforms in a piecemeal way.”
The issues under consideration by the Subcommittee include: 1) the possibility of hedge fund registration as well as the enactment of additional rules relating to transparency; 2) the authority of the Federal Reserve and its role in monetary policy; 3) the privatization of Fannie Mae and Freddie Mac; 4) capital requirements for banks; 5) the need for greater market discipline among all players; and 6) derivatives clearing houses and related competition and mark-to-market issues.
Alaric Compliance Services, LLC (www.alariccompliance.com) has become the leading provider of independent compliance solutions since its formation in 2004. Alaric offers a comprehensive suite of services, including outsourced Chief Compliance Officers, independent compliance consultations and examinations, and compliance oversight and monitoring, including for derivatives. From its New York and Chicago offices, Alaric serves a diverse group of clients, with assets under compliance supervision of over $45 billion.
Media Contact:
Melissa Talarico
Director of Marketing
Alaric Compliance Services, LLC
Tel: 212-243-5241
Email: MTalarico@alariccompliance.com