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Alternative Investments - Hedge Funds, Funds of Hedge Funds, Retail Funds

In today's ever changing regulatory environment, it is imperative that you keep abreast of current regulatory initiatives and developments, continuously evaluate and strengthen risk management processes, and meet the heightened demands of regulators and clients for increased transparency and accountability.  Our experienced professionals can help you establish appropriate processes to address current regulatory requirements, meet client expectations and react promptly to regulatory reform.

Our Due Diligence and Risk Management Services are designed to provide an independent assessment of your fund's infrastructure including evaluation of the investment process, operations, third party service providers, and reporting processes. Our proprietary quantitative and qualitative assessment model measures a fund's infrastructure quality and typically provides specific recommendations for improvement.  After your fund creates the formation documents and establishes necessary third party service provider relationships, it's important for you to create an effective risk management program that facilitates the accountability and transparency expected in the industry. Ideally, this would incorporate your fund's strategic objectives, risk profile, industry standards, best practice, and investor requirements and expectations.  By partnering in this very important initiative, together we can develop and implement an effective Due Diligence and Risk Management Program that's tailored to your needs and the expectations of your investors.  Your Program will further solidify your position in the industry and strengthen your fund's ability to achieve "investment grade" status.

Due Diligence Program

  • Manager due diligence
  • Third party service provider due diligence and monitoring programs

Risk Management and Controls Assessment

  • Enterprise Risk Management assessments (operations, valuation process and underlying fund manager oversight)
  • Operational and financial controls development, documentation and implementation assistance
  • Model Validation

Regulatory Compliance Advisory

  • Integrate approach and programs for ethics and compliance, including: AML, OFAC, FCPA and Code of Ethics
  • SEC registration and reporting

Process Improvement Services

  • Front to back office operations reviews
  • Outsourcing operational risk management
  • Derivative settlement and valuation process services

Technology Assessment and Assistance

  • IT Performance and Strategic Plans
  • Vendor selection analysis
  • Disaster Recovery and Business Continuity Planning
  • Vulnerability Analysis and Penetration Testing