Industry Compliance

Industry Compliance

Since the signing of the Dodd-Frank Act in 2011, technology compliance for investment firms have been a necessity. The Dodd-Frank Act requires registered investment advisers to employ technology safeguards; however, it does not state what those safeguards are.

Industry compliance requirements do vary depending on if the hedge fund investment advisers are registered with the SEC, CFTC or the EU. We help our clients utilize best practices when it comes to technology compliance, based on SEC and investor questionnaires. We prepare our clients for impending compliance audits by developing a comprehensive plan that includes business continuity planning, disaster recovery, data archiving and retention, reporting, monitoring, access control, and network and physical security

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