Fund Chief Compliance Officer
PINE delivers independent Fund Chief Compliance Officer (CCO) solutions for registered funds, including open-end, closed-end, and exchange-traded funds. PINE will appoint a qualified individual to serve as the Fund’s CCO and, when applicable, Anti-Money Laundering (AML) Officer. Each Fund CCO is supported by our full team of compliance professionals.
- Customized policies and procedures manual
- Risk Assessment
- Quarterly and annual reviews of the compliance program
- Service provider oversight and monitoring
- Compliance monitoring and testing
- Board communication
Principal Financial Officer and Treasurer
For registered funds, PINE will assign an experienced professional to serve as the Principal Financial Officer and Treasure. We provide accounting and oversight support services and work closely with your service providers, audit and tax firm, and management.
- Review and certify semi-annual and annual reports
- Chair and conduct Disclosure Committee meetings
- Coordinate annual fund audit
- Review and approve expense payments and fees
- Approve periodic distributions and tax filings
- Chair Valuation Committee meetings
