Compliance and Regulatory
The Compliance and Regulatory Practice at ALaS serves as a trusted advisor to hedge funds, asset managers, banks, broker-dealers and fund administrators, providing services that support compliance with SEC, FINRA and CFTC in the US, and offshore jurisdictions including the Caymans, BVI, Bermuda, and European Union. We provide consulting, outsourced and retained services across the global financial services industry. Our services are inclusive of launch, registration and ongoing compliance solutions for onshore and offshore funds, private equity funds, SEC Registered Investment Advisors, UCITS III Funds, NFA CTA/CPO, IB’s, FCMs and FINRA registered broker-dealer.
| Private Funds |
Government & SRO Support |
Capital Markets |
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Launching and providing ongoing compliance and regulatory services for onshore/offshore Hedge and Private Equity Funds ("Private Funds")
Supporting Private Funds under their respective Regulatrory Schemes (U.S., B.V.I., Cayman, Ireland, Luxembourg and Guernsey)
UCITS III Funds
Registration Services
European Union Alternative
Investment Fund Manager Directive ("AIFMD")
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Dodd-Frank implementation.
Advisory services interpretation and implementation) around pending rules and regulations
Advisory and training services to respective Agencies and SRO's:
- Exam Protocol
- Risk Evaluation
- Enforcement
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Registering and providing ongoing compliance support for:
- FINRA registered Broker Dealers
- SEC investment advisors
- NFA CTA/CTP
- IB's
- FCMs
Provide outsourced compliance solutions to:
- Broker Dealers
- Registered Investment Advisors
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To read our recently released White Paper on Dodd-Frank, please click here.