WHO WE WORK WITH

Delivering Compliance Solutions to Financial Firms

ComplianceWorks offers innovative solutions for investment advisers, hedge funds, broker-dealers, and private equity firms. Learn more about how we help your firm.
investment advisors

Affordable, outsourced engagements keep things running smoothly so you can build your business and gain peace of mind.

CWI provides ongoing compliance to help investment advisors meet regulatory requirements in a cost-efficient manner through versatile and scalable oversight.   We have extensive experience and familiarity with a broad range of advisory services and address ever-changing requirements proactively, enabling advisers to remain compliant and spend more time with prospective and existing clients.

The following is a list of services we frequently provide our Investment Adviser clients. We will work with you to create a package tailored to meet your business needs

Compliance Program Administration

Compliance Program Assessment Internal Inspection

Compliance Program Creation / Rehabilitation

Investment Adviser Registration

Regulatory Audit Response

Policies and Procedures Development and Updating

Cyber Security Services

BROKER DEALERS

Cost-effective compliance solutions that enable you to operate at your fullest for an improved bottom line.

New and stricter regulations require greater expertise and place increased time demands on the resources of broker dealer firms.  To efficiently fulfill ongoing compliance obligations and confidently reduce operational risks, CWI provides continuous support that helps broker-dealers stand up to regulatory scrutiny, retain regulatory controls and ensure compliance, while simultaneously saving time and money.

The following is a list of services we frequently provide our Broker-Dealer clients. We will work with you to create a package tailored to meet your business needs within your resources. our Investment Adviser clients.  We will work with you to create a package tailored to meet your business needs

Broker-Dealer Compliance Program Administration

Broker-Dealer Creation / Rehabilitation

Broker Dealer Registration

Regulatory Audit Inspection

Policies and Procedures Development and Updating

Branch Inspections

Broker Dealer Hourly Engagements

HEDGE FUNDS

Outsourced compliance solutions that ease operational burdens and allow you to focus on fund objectives

To manage complex regulatory obligations, managers of private funds and hedge funds need specialized expertise and a framework for affordable implementation.  CWI provides comprehensive solutions to meet the needed oversight of a firm’s operations, tailored to the resources and needs of the business.

The following is a list of services we frequently provide our Investment Adviser clients. We will work with you to create a package tailored to meet your business needs

Hedge Fund Compliance Program Administration

Limited Partnership / General Partnership Creation

SEC Registration

Regulatory Audit Inspection

Policies and Procedures Development and Updating

Cyber Security Services

PRIVATE EQUITY

Required to register? No problem.

The Dodd-Frank Act requires many private equity fund advisers to register as investment advisers with the SEC and be subject to its oversight.  CWI helps private equity firms meet regulatory requirements, from registration to the ongoing administration of monthly compliance tasks, through the creation and implementation of cost-effective compliance programs, specifically designed to address the particular compliance risks private equity and venture capital firms face.

The following is a list of services we frequently provide our Investment Adviser clients. We will work with you to create a package tailored to meet your business needs

The following is a list of services we frequently provide our Investment Adviser clients. We will work with you to create a package tailored to meet your business needs

Private Equity Compliance Program Administration

SEC Registration

Regulatory Audit Inspection

Policies and Procedures Development and Updating

Cyber Security Services