Whether looking to acquire an investment adviser, make an institutional investment, or establish any kind of relationship with an asset manager, COMPLY can provide greater expertise and resources to conduct due diligence on those third parties. Our compliance experts will undertake an independent and comprehensive review of the manager’s risk management processes, internal controls, and compliance procedures to evaluate whether sound risk management and industry best practices are followed.
- Conduct reviews for institutional investors, private equity funds, broker-dealers, endowments, foundations, and pension plans in performing due diligence reviews of asset managers
- Assist in identifying any deficiencies in such varied areas as money laundering, personal trading, account reporting and NAV calculations, conflicts of interest, custody of client funds or securities, non-public information and confidentiality, trading and brokerage, and adherence to investment restrictions
- Provide a detailed report to assist in making a sound decision regarding a variety of business relationships
