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We are always on the lookout for passionate people that possess IQ and EQ to join our growing team.
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Our U.S. Regulatory Compliance offering takes ownership of an investment manager’s compliance program and functions as an extension of your compliance staff for the investment manager.
Our team handles all U.S. regulatory requirements of the SEC, NFA/CFTC, ‘40 Act and FINRA. As part of our ongoing regulatory compliance services, our clients have access to our staff whenever needed to provide practical, business friendly advice. We perform a myriad on ongoing consulting services including quarterly review and testing of the compliance program, policy drafting, employee training, marketing material review, as well as regulatory examination support.
We also can work on a discreet project basis, whether it be for a mock regulatory examination or forensic testing. In addition, to ensure compliance with your Code of Ethics requirements our proprietary software, gVue, automates and retains all code of ethics items and compliance policies.
Our U.S. compliance and regulatory consulting solutions include:
Contact us today to learn more about our compliance consulting support for U.S. investment managers:
IQ-EQ is the best firm for our needs, they do a good job and they are cost effective for what they do. Michael Savinelli Vice President, Chief Tax Officer & Treasurer, ITT Inc
Head of Compliance and Regulatory Services, U.S.
United States
Send email +1 617 784 0486Senior Managing Director, Head of Growth Strategy
United States
Send email +1 646 453 4298 Full profileFAQ
Compliance consulting is a service that helps businesses ensure they are following relevant laws and regulations. This can involve reviewing and updating policies and procedures, conducting risk assessments, and providing training for employees. Compliance consultants also help businesses stay up to date on new regulations and potential risks.
At IQ-EQ, we offer an intelligent compliance consulting service that generates industry-rated compliance documentation. Our team of experts can help businesses navigate complex regulations and develop effective compliance strategies.
Regulatory Compliance
27 Mar 2024
Regulatory Compliance
26 Mar 2024
Regulatory Compliance
02 Jan 2024
Fund & Asset Managers
20 Nov 2023
Regulatory Compliance
06 Sep 2023
Regulatory Compliance
29 Aug 2023
Regulatory Compliance
By Sean Wilke
29 Jun 2023
Regulatory Compliance
By Dan Miller
12 Oct 2023
Regulatory Compliance
By Sean Wilke
18 May 2023 | 4 minute read
Regulatory Compliance
16 May 2023 | 3 minute read
Regulatory Compliance
08 May 2023 | 12 minute read
Fund & Asset Managers
30 Mar 2023 | 6 minute read
Regulatory Compliance
28 Mar 2023 | 7 minute read
Regulatory Compliance
24 Mar 2023 | 5 minute read
Working with IQ-EQ has been seamless – you and your team understand our business, advise us appropriately, and handle your side of our collective partnership so that we can focus on making good investment decisions. Evan Gibson SVP, Merchants Capital
We are always on the lookout for passionate people that possess IQ and EQ to join our growing team.
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