Compliance and Regulatory


Best practices around use of expert networks and policies and procedures to prevent the misuse of material, nonpublic information

Assistance with developing an effective program to monitor communications, written policies and procedures and training regarding permitted platforms for communications, monitoring communications platforms, and record retention

Advise on use of outsourced compliance and mock SEC exams or

SEC hot topics and trends, such as enforcement under the “Compliance Rule” 206(4)-7, and the Code of Ethics under Rule 204A-1, of the Investment Advisers Act of 1940

Provision of AMLCO and MLRO services for Cayman funds

Bill Fleury

Contact Bill for more details

Wendy Beer

Contact Wendy for more details

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