US Mutual Fund Compliance Services

We offer flexible compliance services, either supporting an in-house compliance officer or providing a qualified person to act as the fund’s compliance officer. With either option you minimize cost and risk because we integrate compliance oversight with regular testing and reporting functions.

Services include

Chief Compliance Officer (CCO)

 

  • Managing the compliance risk assessment process.
  • Monitoring the implementation and effectiveness of policies and procedures.
  • Recommending policy and procedure enhancements.
  • Reporting to fund management and Board.

 

Sarbanes-Oxley Officer

 

  • Providing principal executive officer and principal financial officers for public funds.
  • Reviewing and certifying regulatory filings.
  • Complying with disclosure controls and procedures.

 

 

Anti-Money Laundering Officer

 

  • Overseeing compliance with fund AML policies and address issues.
  • Filing suspicious activity reports.
  • Reporting to fund management and Board.

 

 

CCO Support

 

  • Providing reporting and certifications regarding Atlantic’s operations.
  • Assisting with fund compliance program’s design.
  • Providing customised testing of Atlantic operations.
  • Consulting on Board reporting and support.
  • Providing fund design and consultation.

 

Portfolio Trade Compliance

 

  • Maintaining regulatory and offering document compliance rules.
  • Performing and reporting on daily post-trade compliance testing.
  • Analysing compliance warnings and breaches and manage resolution.

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