Detailed Investment Company Service List

Regulatory Risk Reviews

• Mock SEC IC Exams
• 38a-1 Policy and Procedure Reviews
• Subadviser Due Diligence Reviews
• Anti-Money Laundering Reviews
• Customized Forensic Compliance Process Testing
• Customized Compliance Reviews

Additional Consulting Services

• Policy and Procedure Development
• Onsite Support during SEC Inspections
• Compliance Training
• Expert Witness Testimony
• Advertising and Sales Literature Reviews
• Outsourced “Internal Audit” Functions and Reviews