Our firm specializes in providing compliance support for investment advisors, family offices, hedge funds, private fund firms and foreign financial institutions conducting 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:
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Investment Advisor Registration – SEC and State Filings, Form ADV, Form CRS, Form U-4, Form U-5
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Supervisory Procedures, Code of Ethics, Privacy Policy, Compliance Calendar, Risk Assessment
- Anti-Money Laundering Program for Investment Advisors
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Independent Testing and Gap Analysis
- Reviews of advertising materials, website, social media, and email monitoring system lexicon, rules and alerts.
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Trade Compliance/Personal Trading Reviews
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Due Diligence/Best Execution Reviews
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Counter-party/Service Provider Due Diligence
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Private Placements or Offerings, Private Funds, Reg. D, Reg. S Compliance and Due Diligence
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Outsourced Compliance Functions
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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
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Work with counsel to provide assistance in discreetly conducting internal Investigations of fraud, embezzlement, theft, employee dishonesty, Insider Trading, customer complaints involving large losses, or other sensitive matters:
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- 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
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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
