US Mutual Fund Compliance Services

US Mutual Fund Compliance Services

Apex offers flexible compliance services, either supporting an in-house compliance officer or providing a qualified person to act as the fund’s compliance officer.  With either option you minimize cost and risk because we integrate compliance oversight with regular testing and reporting functions.

Chief Compliance Officer (CCO) Services include:

  • Manage the compliance risk assessment process
  • Monitor the implementation and effectiveness of policies and procedures
  • Recommend policy and procedure enhancements
  • Report to fund management and Board

Sarbanes-Oxley Officer Services include:

  • Provide principal executive officer and principal financial officers for public funds
  • Review and certify regulatory filings
  • Comply with disclosure controls and procedures

Anti-Money Laundering Officer Services include:

  • Oversee compliance with fund AML policies and address issues
  • File suspicious activity reports
  • Report to fund management and Board

CCO Support Services include:

  • Provide reporting and certifications regarding Atlantic’s operations
  • Assist with fund compliance program design
  • Provide customized testing of Atlantic operations
  • Consult on Board reporting and support
  • Provide fund design and consultation

Portfolio Trade Compliance Services include:

  • Maintain regulatory and offering document compliance rules
  • Perform and report on daily post-trade compliance testing
  • Analyze compliance warnings and breaches and manage resolution