Hedge Fund Compliance Outsourcing

For hedge funds and investment advisors looking to outsource compliane related tasks, ACI offers the hedge fund compliance outsourcing option. For hedge fund compliance outsourcing clients, ACI works with the firm's Chief Compliance Officer to oversee the implementation of your hedge fund compliance outsourcing or RIA compliance program. Maintaining a strong compliance program can be a daunting task for a CCO or even a team of compliance professionals. For ongoing hedge fund compliance outsourcing support, ACI can assist in the following areas:

Hedge Fund Compliance Outsourcing & RIA Compliance Outsourcing

• Telephone support for the firm's CCO and staff
• Assist client in setting up an automated personal trading platform, if deemed necessary based on size and trade volume, for automated pre-clearance
• Review of employee emails
• Review of advertising & marketing materials as needed
• Development of an annual compliance calendar (based on firm policies with reminders to conduct tasks)
• Quarterly On-site review of the compliance program
• Training programs for compliance staff, management and employees to facilitate compliance implementation
• Review and update of Code of Ethics, Privacy Policy and Policies and Procedures
• Assist with Form ADV Part I and II Updates
• Assist with SEC Filings
• Due Diligence review of investors, service providers and related companies
• Review of offering documents, disclosures and applicable schedules
• AML Audit (if AML procedures in place)
• Annual review

To learn more about these hedge fund compliance outsourcing services contact info@acisecure.com.