99375160
Sep 4, 2025
Business assistance, advisory and consulting services in the field of regulatory compliance; business advisory services regarding compliance with laws and regulations governing investment advisers, private funds, and financial service providers; business risk assessment and compliance program development for organizations; preparation of business reports relating to compliance policies and procedures.
Advertising and BusinessRegulatory compliance consulting in the field of securities laws and investment adviser regulations; providing advice regarding compliance with fiduciary obligations, the Investment Advisers Act, and related regulatory requirements; development and drafting of compliance policies and procedures; compliance monitoring, testing, and review services; outsourced chief compliance officer (CCO) services for investment advisers and private funds.
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