Regulatory Compliance Support

PINE will work with you to develop, implement and maintain a best in class compliance program customized to your firm. Whether you are an exempt reporting adviser, state-registered or SEC-registered, PINE will customize a program that is specific to your requirements. We also work to ensure that our clients can access information easily to ensure an efficient and functioning workflow. PINE maintains each of its clients’ requirements on a web-based portal that clients can access to review compliance materials, provide attestations and oversee vendor due diligence.

  • Regulatory support for SEC/CFTC/NFA and state registered advisers
  • Program development and implementation
  • Compliance training
  • Employee code of ethics monitoring and reporting
  • Investment advisor registration including Form ADV Part I and II
  • Portfolio compliance
  • Mock SEC exam/audit prep
  • Onsite inspection support services
  • 13F, 13G and 13D filings

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