Moran Compliance Consulting provides regulatory compliance consulting to investment advisors, investment companies, and private funds. All engagements are managed by a former Chief Compliance Officer, former U.S. Securities and Exchange Commission Senior Securities Compliance Examiner/Senior Accountant with over thirty years of compliance and regulatory experience.

We have lots of SEC and regulatory experience (with over 150 SEC exams!) working with a variety of investment advisers, private funds, private equity funds, venture capital funds, and mutual funds.

We break compliance failures down into three main reasons:               

• Not doing something you represent you are doing

• Not doing something you should be doing                   

• Technical compliance issues                                        

The first is easy to remedy; the second requires broad regulatory and compliance knowledge; and the third requires an experienced regulatory expert.