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Compliance consulting U.S.

Unlike a consultancy, IQ-EQ’s U.S. Regulatory Compliance team takes ownership of an investment manager’s compliance program and functions as the compliance staff for the investment manager.

This includes handling all relevant U.S. regulatory requirements of the SEC, NFA/CFTC, State(s), 40 Act and FINRA.

As part of our ongoing regulatory 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.

In ensuring effective compliance, we also leverage gVue, our proprietary software that automates and retains all compliance processes and procedures.

Our U.S. compliance and regulatory consulting solutions include:

Project-based engagements

  • Investment adviser registration
  • Exempt reporting adviser services
  • CFTC registration and NFA membership
  • Broker-deal registration
  • Compliance policies and procedures
  • Regulatory examination support / mock examinations
  • Gap analyses

Ongoing compliance support

  • Ad hoc consultation and advice
  • 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
  • Staff compliance training
  • Maintenance of policies and procedures
  • Drafting of forms, templates and other practice management tools
  • Electronic, expert network and buy-side communications surveillance
  • Marketing and advertising reviews
  • Code of ethics administration
  • Investor due diligence support


Contact us today to learn more about our compliance consulting support for U.S. investment managers:

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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

Compliance consulting FAQs


What does compliance consulting involve?

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.

What can a regulatory compliance consulting firm like IQ-EQ do for me?

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.

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

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