Investment Company Consultation Services

Registered investment companies (mutual funds) must comply with Compliance Rule 38a-1, which can be very challenging and rigorous. Core Compliance provides proactive and effective investment company consultation services. We can assist your board, sponsors, advisers, sub-advisers and service providers understand compliance obligations and can provide valuable assistance in preparation of and during SEC examinations.

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Investment Adviser Compliance & Risk Management

Customized Compliance Solutions

Our consultants have established roots in the investment company industry and understand the intricacies of the investment company compliance program from having built Rule 38-1 compliance programs as CCOs. We customize our engagements to meet the unique needs of each client, regardless of size, which helps to provide cost effective, efficient solutions for our clientele.

Investment Company Compliance Program Support 

Our goal is to be a strategic partner for your business. We offer both package (based on a fixed fee) and customized solutions, including stand-alone services (billed at an hourly rate) to meet your compliance program needs. This includes:

  • Conducting risk assessments and regulatory reviews
  • Comprehensive policies and procedures development and training 
  • SEC examination support and mocks 
  • Conducting Rule 38a-1 reviews and providing annual report to the Board 
  • 15 C support for the boards 
  • Service providers due diligence reviews 
  • Reviews of high-risk areas, such as Valuation and liquidity, distribution, etc. 
  • CCO and compliance team mentoring/training
  • Independent Fund Board compliance advice and training 

Core Compliance provides all of these customized services based on your unique business needs. For more information, please contact us.