In an industry based on trust and investor confidence, no company, whether an early stage start-up or an established venture, can afford to suffer the reputational harm that comes with compliance violations. The only way to protect your company is to establish a compliance program that is customized to the precise needs of your business.

Our experienced professionals can assist with:

  • Compliance program design, implementation, monitoring and remediation
  • Risk assessment and gap analysis
  • Forensic, transactional and general testing
  • Code of ethics development (gift policy, outside business activities, political contributions)
  • Anti-money laundering program development
  • Annual/interim reviews and compliance assessments
  • Ongoing compliance consulting
  • Evaluation of service provider privacy policies, business continuity procedures and compliance programs
  • Mock regulatory exams
  • Preparation for regulatory exams and post-exam support
  • CCO support services