To meet the ever-changing regulatory and compliance requirements of global exchange and OTC markets, LAI's consultants, working and independently or collaboratively, provide clients with focused compliance expertise over the full range of global markets and the full range of participating enterprises.
Broker-Dealer, Financial Institution and Industrial and Agricultural Enterprises
Hedge Fund Managers are facing the prospect of increased federal regulation. Pending legislation would require Hedge Fund Managers to register as investment advisers. As investment advisers, Hedge Fund Managers will be required to:
Have a compliance program with a CCO and written policies and procedures;
Prepare and file certain reports with the SEC;
Provide clients with a written disclosure statement;
Have a Code of Ethics; and
Be subject to examination by the SEC.
With increased regulation, Hedge Funds will require highly specialized expertise in compliance. Larrimer Associates can equip your firm to meet new compliance requirements without the overhead costs associated with building your own compliance team. We can develop and implement a customized compliance program that will satisfy regulatory requirements and provide the transparency and accountability your investors demand.