IM Compliance offers numerous compliance service solutions, and each service solution provides a high level of service to mutual funds, investment advisors and Fund Boards with varying compliance needs.
Independent CCO Services
To assist investment companies to maintain compliance with federal securities laws, IM Compliance delivers mutual funds peace of mind by providing a experienced securities lawyer to serve as your independent Chief Compliance Officer to administer your Fund's Rule 38a-1 compliance program. IM Compliance can assist in your CCO compliance efforts by providing:
» Service as the named CCO for your fund
» Preparation of your Fund's Rule 38a-1 Annual Report
» Provide quarterly reports of the CCO to the board
» Oversight of service providers
» Oversight of sub-advisors
» Design and testing of elements of your Fund's compliance program
» Recommend written policies and procedures best practices
We welcome the opportunity to speak with you. If you are interested in a customized proposal, please contact us at 775-250-2897 or email us at pguarino@imcompliance.com
We also offer:
•INVESTMENT COMPANY SERVICES
•INVESTMENT ADVISOR SERVICES
•HEDGE FUND SERVICES
•CONSULTING SERVICES
Please contact us for more information.
Services
Compliance Service Solutions
