Investment Adviser Makes the Most of a Mock SEC Exam
Developing a Code of Ethics Program
"Having worked with Ann Oglanian in the past, I expected nothing less than the high level of professionalism and work quality we received. ReGroup made the mock SEC audit real for us. It was a great learning experience and the feedback we received was incredibly valuable as it was sensitive to our firm’s unique situation and perceived risks."
Doug P., Chief Compliance Officer
Compliance Department Strategy
Facing increased due diligence from institutional investors, the CEO of a $2B SEC registered investment adviser sought to establish a code of ethics program.
Risk Governance for An Investment Adviser
A multinational insurance company managed $70B AUM in captive assets of its parent company and global affiliates.
A Hedge Fund Uses a Compliance Committee to Manage Risk
“In order to do risk management well, you need to understand the business. ReGroup understands the business. ReGroup helped us understand the depth we needed to go to make sure the right framework was in place – that was our safety net.
Jayne E., Senior Portfolio Manager
Establishing Relevant, Risk-Responsive Compliance Education
"This committee and Ann’s involvement as an independent compliance expert have become an invaluable resource to the firm and an integral part of our risk management efforts."
Peter G., Chief Compliance Officer and General Counsel
Efficiency Gains and Risk Management with Simple Systems
A mid-sized registered investment adviser’s compliance testing revealed the need for a clear, consistent compliance training program for both new and current employees.
Code of Ethics Administration & System Utilization
A small cap manager with 4 billion AUM, a twenty-year operating history, and 18 employees, sought to capture repeatable tasks, regulatory requirements and client deadlines, and to create clearer reporting to senior leaders.
Implementing a Compliance Management System
In order to improve its operational efficiency, a $2B SEC-registered private fund manager purchased and implemented a compliance management system to assist in the administration of the firm’s code of ethics.
Independent Review of Compliance Program Design
“Working with ReGroup removed the guesswork from our compliance systems implementation. ReGroup managed the risk of investing in a system with outstanding project management and delivered a huge asset to our firm on time and on budget.”
Todd S., Chief Compliance Officer
Regulatory & Operational Risk Management
"I trust ReGroup implicitly. I know they are on the right track, and I know enough about compliance to know this. Everything they uncovered has been pointed out for a good reason."
Robert L., President and CEO
The CCO of a $7B AUM investment adviser requested assistance managing the firm’s compliance program and testing plan in a way that assessed, incorporated, and mitigated regulatory and operational risk.