- Support RIAs and BDs in the development and administration of their compliance programs.
- Serve as outsourced GC to draft, coordinate, and review all legal documents of the firm.
- Conduct due diligence and monitor activities of sub-advisers, third-party managers, and service providers.
- Represent the adviser before the SEC and other regulators.
Duff & Phelps is an award-winning provider of compliance and regulatory consulting services. Our global team of professionals operate to build, manage and protect our clients’ businesses by providing exceptional advice and integrated expertise.
Eversheds Sutherland is a global law firm, comprising two separate legal entities with a shared culture and commitment to client service excellence: Eversheds Sutherland (International) LLP (headquartered in the UK) and Eversheds Sutherland (US) LLP (headquartered in the US), and their respective controlled, managed, affiliated and member firms. Visit eversheds-sutherland.com.
Hardin Compliance Consulting LLC, a full-service compliance consulting firm based in Pittsburgh, Pa., offering expert regulatory compliance solutions and advice to investment advisers, broker-dealers, private equity and hedge fund managers. Our consulting team averages 20 years of experience in the securities and compliance industries and consists of former in-house securities attorneys, senior compliance managers, compliance professionals and senior audit professionals from several prominent financial institutions. We take the time to learn about your firm and its specific needs. Then we recommend a timely, effective and affordable solution. We offer our clients a customized compliance program offer customized compliance programs using the Compliance Navigator, a comprehensive, web-based system, using leading-edge technology to track and document testing and monitoring. In addition to acting as an out-sourced compliance team, we offer a range of services, including mock SEC exams, compliance program reviews, assistance in RIA and BD registration, and regulatory exam support. Learn more about our services and team at hardincompliance.com.
Oyster Consulting provides consulting, outsourcing and software solutions to financial services industry clients. We believe that the best run organizations make well-informed decisions with input from finance, operations, compliance, risk, technology, trading and marketing. Oyster offers our clients services in these areas from our platforms. Our experienced industry practitioners add more value than career consultants and help us approach each client with practical solutions to their challenges.
We serve as a trusted legal advisor to the investment advisory community in the following areas:
- Investment adviser registration and regulation
- Compliance program design, development, implementation, review, and testing
- Business formation and structuring
- Commercial contract drafting and negotiation
- Mergers and Acquisitions/Joint Ventures
- Private fund formation
- Operational due diligence
- Employment matters
Six Lambda is a structured data solutions provider that provides a pay-to-play monitoring and testing service for compliance professionals. We scrape Federal, State, and Local public data sources on a daily basis to provide a comprehensive database that can be used for monitoring political contributions. The service allows clients to verify contributions that were pre-cleared, but more importantly, confirm those which were not. Whether its daily monitoring or ad hoc reporting, Six Lambda can help you and your firm manage political giving policies.