Our Services
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Moran Compliance provides senior-level regulatory guidance to registered investment advisers, private fund managers, and investment companies. Every service is delivered personally — no junior staff.
We tailor our work to fit your budget. Fees can be hourly or project based.
Outsourced Chief Compliance Officer
Not every firm needs a full-time CCO — but every firm needs senior compliance leadership. Our outsourced CCO service gives you a dedicated, experienced compliance officer on a flexible basis.
Serve as named CCO or act as de facto compliance lead
Attend board and management meetings as needed
Regulatory liaison and correspondence support
Available for staff questions on an ongoing basis
Compliance Program Design and Review
Compliance Program Design and Review
Whether you’re registering for the first time or refreshing an existing program, we build compliance frameworks that are practical, defensible, and examination-ready.
Written policies and procedures tailored to your business
Annual compliance program review as required under Rule 206(4)-7) and Rule 38a-1
Risk assessments and gap analyses
Ongoing regulatory monitoring and updates
Mock SEC Examinations
An SEC examination doesn’t have to be a surprise. We help you prepare the way an examiner would — because we were one. Our exam preparation services include:
Mock examination conducted from the examiner’s perspective
Document and records readiness review
Staff interview preparation and coaching
Identification and remediation of common deficiency areas
Marketing and Advertising Reviews
We can conduct a comprehensive review to ensure your policies are in compliance with all rules and regulations.
In addition, we can partner with your firm to assist in reviewing your advertising and marketing materials as needed.
Start a relationship now and gain SEC examination guidance you hope you will never need.
Schedule a free consultation today
215-650-7056
info@morancompliance.com
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