At WB, we understand our client’s concerns regarding compliance of investment managers of private funds and hedge funds, as well as the daunting task for investment managers to maintain the needed financial compliance oversight of a firm’s operations. WB provides a comprehensive suite of compliance services and strategic oversight for managers of private funds and hedge funds, thus allowing for managers to focus on their unique businesses. WB's team of expert attorneys and highly skilled compliance professionals are able to provide the analysis needed to design a solid and effective compliance program to control and manage the task of regulatory liability, as well as address operational risk areas within your firm.
WB can assist with:
· SEC registration and filing Form ADV (See: Registration Services)
· Developing and implementing a compliance program which is consistent with regulatory standards and customized to your firm’s size, culture and operational needs, including
Risk assessment and gap analysis with particular focus on:
· Filings and registration
· Valuations, best execution and trade management
· Code of ethics and personal trading review
· Conflicts of Interest
· Review of Anti-Money Laundering Policies
· Specialized reviews focused on compliance assessments and regulator-mandated consulting
As well as mentoring and advisement on the role of the CCO:
· Provide analysis on how new and revised regulations may affect your firm’s business
· Assisting with the drafting of CCO reports and establishing comprehensive compliance calendars
· Conducting mock regulator examinations (See SEC Mock Audit Services)
· Assisting with vendor and service provider selections as well as general oversight and due diligence
· Assisting with conversion of registered funds to registered investment companies
Support your in-house CCO
We provide services to support your in-house CCO which include:
· Supplementing your compliance weaknesses
· Tasked based support
· We are available at moment’s notice request for support throughout the year.