Services We Provide
We provide both ongoing compliance support and project-based services tailored to your needs. Our services are designed to grow with our clients, providing the appropriate levels of support as they expand and increase their AUM and product offerings. We are here to be your strategic partner.
We provide compliance and regulatory services for both registered and exempt reporting advisers, as well as commodity trading advisors and commodity pool operators. Our guidance helps firms navigate evolving federal and state-level regulations and industry standards. We advise on regulatory matters from Regulation S-P to CFTC Rule 4.13(a)(3) exemption compliance.
Our core offerings include:
Outsourced Chief Compliance Officer (OCCO) services
Annual compliance reviews under Rule 206(4)-7 and risk assessments
Form ADV and Form PF filing assistance
Compliance Manual preparation, review and updates
Review of advertisements pursuant to the Marketing Rule (Rule 206(4)-1)
Compliance training programs
SEC investment adviser registration support
CTA and CPO registration, exemption and compliance assistance
SEC, CFTC and NFA examination support
Specialty Services
We provide specialized compliance services for private fund advisers with complex or growth-oriented needs:
State and local lobbying law compliance
Pay-to-play guidance
Fund launch services
We also partner with advisers undergoing mergers or acquisitions, assisting with the resulting compliance, operational and regulatory integration challenges.
Contact Us
If you would like to discuss whether Alamo Square is the right fit for your firm, we welcome the conversation.