Our adviser consulting solution reflects our understanding of the compliance concerns surrounding registered investment managers of private funds and hedge funds, as well as the daunting task for investment managers to establish required compliance oversight of a firm’s operations. WB provides an extensive suite of compliance services and strategic oversight for managers of private funds and hedge funds, thus allowing for managers to focus on their unique business expertise as investment and trading professionals.
WB will provide a qualified individual to assist the Adviser’s who will:
- Draft and file Annual Form ADV amendment;
- Conduct periodic reviews of the Adviser’s Compliance Program to incorporate new or amended regulations, best practice recommendations or other guidelines that may be appropriate to its operations;
- Conduct annual training for all personnel regarding the Adviser’s Compliance Program, including but not limited to Code of Ethics and Insider Trading;
- Perform testing of certain compliance procedures, including collecting and organizing relevant compliance data and reviewing reports, investigating exceptions, and making inquiries of management and the service providers (where applicable);
- Monitor Code of Ethics activities;
- Oversee the Adviser’s maintenance of required books and records pursuant to Rule 204-2;
- Assist / Conduct the CCO’s annual compliance review which will assess the adequacy and effectiveness of the firm’s compliance program as required by Rule 206(4)-7;
- Provide support during regulatory examinations; and
- Conduct site visits to the Adviser as agreed upon.