Not only is your hedge fund’s compliance program responsible for complying with Securities and Exchange Commission (SEC) requirements under the Investment Advisers Act of 1940, but it is often the differentiator in attracting and retaining investors. Invest in a compliance solution as dedicated to your hedge fund as you are.
Your hedge fund is focused on honing your strategic trading model to increase profitability for investors. ComplySci is focused on ensuring your firm meets those goals, all while maintaining SEC compliance with precision and ease. Backed by the experts across the COMPLY portfolio, you can rest assured we have the details – from Form ADV disclosures to Form 13F and back again – covered.
Incorporate customized, automated workflows around your Code of Ethics policies and leverage a full suite of technology and consulting solutions to double, triple and quadruple check conflicts of interest related to personal trading, gifts and entertainment, political contributions, outside business activities, marketing materials, initial public offerings (IPOs) and private placements transactions. Features like or Black Box Firm Trade API, integrated Control Room and global Conflict Check are developed with hedge funds in mind, so your compliance platform can be as unique as you are.
“If we are examined by the SEC, we can easily prove we conducted certifications and were quarterly collecting employee holdings and transaction information.”