Services

Outsourced Chief Compliance Officer

New and changing regulations are the norm and for many firms it is difficult to keep up with all the changes.  Outsourcing your Chief Compliance Officer position to Moran Compliance Consulting is a cost-effective solution to ensure your firm stays in compliance.

Compliance Program Support

Do you have a named CCO, but require additional compliance resources?  In addition to being an expert resource, we can help manage your compliance and ethics program and perform all necessary tasks. 

Compliance Program Reviews & Mock SEC Exams 

We provide comprehensive investment advisor, investment company, and private fund compliance reviews including mock SEC examinations and Rule 206(4)-7 and Rule 38a-1 annual reviews. We have worked with hedge, private equity, credit, real estate, life settlement, and other types of private funds.

SEC Examination Support 

Is your firm currently undergoing a SEC exam?  Do you need help with a deficiency letter response?  Do you want to prepare for your next SEC exam?  Let us use our over twenty-five years of hands-on examination experience to assist you.

Marketing and Advertising Reviews

Investment advisors and private funds are subject to rules and regulations with respect to marketing and advertising.  We can conduct a comprehensive review to ensure your policies and marketing materials 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.

Automated Compliance Systems

Changing guideline monitoring systems and need your guideline rules reviewed? We can help create and review compliance rules in most systems.  In addition, we can assist with setting up your automated code of ethics system.