Investment Advisors | Family Offices | Hedge Funds | Private Equity

Our firm specializes in providing compliance support for investment advisors, family offices, hedge funds, private equity firms and foreign financial institutions conducting a business with high net worth and ultra high net worth international clients. We offer expertise in cross border transactions and anti-money laundering.

We offer:
  • Investment Advisor Registration – SEC and State Filings, Form ADV, Form U-4

  • Supervisory Procedures, Code of Ethics, Privacy Policy, Compliance Calendar, Risk Assessment

  • Anti Money Laundering Program for Investment Advisors
  • Independent Testing and Gap Analysis

  • Trade Compliance/Personal Trading Reviews

  • Due Diligence/Best Execution Reviews

  • Counter-party/Service Provider Due Diligence

  • Private Placements or Offerings, Private Funds, Reg. D, Reg. S Compliance and Due Diligence

  • Outsourced Compliance Functions

  • Onsite Assistance and Guidance During Regulatory Audits

  • Training – Compliance Requirements/Best Practices, Foreign Finders/Solicitors, Cross Border Transactions, Foreign Corrupt Practices Act and Anti Bribery regulation
  • Independent Consultant in SEC Actions/Settlements
  • Assistance in discreetly conducting internal Investigations of fraud, embezzlement, theft, employee dishonesty, Insider Trading, customer complaints involving large losses, or other sensitive matters:

      • Conduct in depth investigation,  review of pertinent records and interviews with key employees
      • Prepare detailed report of findings and exhibits that organize and consolidate data and support conclusions
      • Identify extent of losses and assets that may be recovered
      • Provide recommendations for implementation of appropriate controls to prevent a recurrence
      • Assistance as required, with notification and filing of reports with regulatory authorities and law enforcement

V&V Consulting is not a law or accounting firm and therefore, we do not render legal, or accounting advice.

V & V Consulting Group Investment Advisor Services Brochures