Regulatory Compliance (U.S.)

Unlike a consultancy, IQ-EQ takes ownership of an investment manager’s compliance program and functions as the compliance staff for the investment manager. We proactively manage all aspects of the compliance program specific to the investment manager’s regulatory requirements, whether it be pursuant to the SEC, FINRA, CFTC/NFA or State regulatory bodies.

As part of our ongoing compliance services, our clients have access to a web-based compliance portal that is customised to the investment manager’s specific compliance program. Additionally, IQ-EQ performs a quarterly review and testing of the entire compliance program and provides recommendations for any changes or updates. 

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With its intuitive technology and easy-to-use reporting functions, gVue offers you an easier path to compliance that ensures you operate within regulatory requirements, as well as company policies.

Projects

  • Investment Adviser Registration
  • Exempt Reporting Adviser Services
  • CFTC Registration & NFA Membership
  • Broker-Dealer Registration
  • Compliance Policies & Procedures
  • Regulatory Examination Support
  • Mock Regulatory Examinations
  • Gap Analyses
  • Bespoke Solutions

Ongoing Compliance Support & Advisory

  • Ad Hoc Consultation & Advice
  • Regularly Recurring Meetings
  • Implementation of Compliance Calendar
  • Regulatory Filings (Advisers Act, Exchange Act, Investment Company Act, CFTC/NFA)
  • Annual Compliance Reviews
  • Monthly and/or Quarterly Compliance Testing
  • Targeted Forensic Testing
  • Compliance Training (Comprehensive & Targeted)
  • Maintenance of Written Policies & Procedures
  • Drafting of Forms, Templates and Other Practice Management Tools
  • Access to Publications, Webinars, Conferences and Other Industry Events/Content
  • Electronic Communication Surveillance
  • Expert Network & Buy-Side Communications Surveillance
  • Marketing & Advertising Reviews
  • Code of Ethics Administration
  • Investor Due Diligence Support

Key contacts