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Regulatory Compliance Calibrated to the Investment
Advisory Business
SERVICES

Whether your firm is a start-up advisory business seeking registration or already registered, we provide guidance on best practices and help you implement a scalable compliance program that fits your business.

RESOURCES

Get guidance on certain policies and procedures that apply to most investment advisers, irrespective of the firm's registration status. This section includes practical considerations when crafting compliance policies and procedures. 

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CONTACT

Tell us about your business and your current compliance needs.

 

ABOUT US

’40 Act Compliance, LLC is a Los Angeles-based compliance and regulatory consulting company offering compliance management services to investment advisers specializing in private and public funds for institutional clients. ’40 Act Compliance will calibrate your firm’s compliance program to fit your business with a view towards growth and diversification.

 

’40 Act Compliance offers full Chief Compliance Officer outsourcing and targeted support to in-house Chief Compliance Officers.

contact

CONTACT US

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Tel: (877) 736-5247

'40 Act Compliance will partner with you and your legal counsel to identify and assess compliance best practices relative to:

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  1. your fiduciary obligations to your clients;

  2. legal and regulatory prohibitions and requirements;

  3. contractural requirements;

  4. recordkeeping requirements; and

  5. SEC oversight.

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Let us know how we can help you.

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