Compliance Services

A staple of the HC services suite, our expertise blends valuable compliance experience with practical business knowledge. Our senior project managers have extensive audit experience with all the regulatory agencies and can guide your firm through any audit. Our services are beneficial to both new and existing organizations regardless of strategy or size. It is crucial to identify and address any gaps in your current operating environment, whether your firm is preparing to register or is already a registered entity. HC will contour a compliance program suited to your firm's needs.

HC has set up a significant number of entities and can provide strategic insight for each core business document both in terms of consistency and relevance in the following areas: marketing materials, financial arrangements, fee structures, strategy and overall business environment. We can facilitate the filing of a client's SEC registration as well as review Private Placement Memorandums, Investment Management Agreements and Subscription materials. We can also provide the proper solutions for firm documents while tracking changes on a client's behalf.

HC can create policy and procedure manuals based upon a variety of responsibilities and functions that encompass the full spectrum of a client's operating infrastructure. Contoured to the firm's business, this would include all the major compliance categories.

Our Compliance Services include:

To learn more about our Compliance Services, click here.

‹ BACK

Informational Bulletin: Registration and Form PF Preparation
August 2011
HC Associates' latest bulletin addresses preparing for the Dodd-Frank Act and its proposed Form PF filing requirements.

Opalesque Colorado Roundtable
March 8, 2011
HC's Founder & Chairman Edward Tedeschi discusses industry trends and developments as a member of the inaugural Opalesque Colorado Round table sponsored by Rothstein Kass.