Internal Investigations for Hedge Funds
Hedge Funds can expect to be regulated by the SEC by December 31, 2009, and ACI is fully prepared to work with Hedge Funds to jump-start their compliance programs. By looking at existing FINRA regulations for Broker Dealer firms, and SEC Rule 206 which governs Investment Advisor firms, ACI has a clear picture of the type of regulatory reform in store for Hedge Funds, which will most likely include a mandatory compliance program with written procedures, to be governed by a Chief Compliance Officer, and overseen via an annual compliance review. ACI conducts regular internal reviews for BDs and IAs and is ready to do the same for Hedge Funds.
ACI will assess each area of the firm’s business with thorough internal investigations with services that include, but are not limited to:
• Identifying key business areas requiring internal investigation
• Conducting internal investigations and providing recommendations for compliance improvements
• Recommending an appropriate fix for deficiencies uncovered
• Assisting with review and due diligence of accounts
ACI will assess each area of the firm’s business with thorough internal investigations with services that include, but are not limited to:
• Identifying key business areas requiring internal investigation
• Conducting internal investigations and providing recommendations for compliance improvements
• Recommending an appropriate fix for deficiencies uncovered
• Assisting with review and due diligence of accounts
To inquire into ACI's Internal Investigation services, contact us at info@acisecure.com.
