Alaric Compliance is dedicated to its mission of providing regulatory compliance solutions and expertise on an outsourced basis to help our clients meet their regulatory compliance requirements in the most cost-effective manner.
The benefits we offer clients include:
Quality of our people- former regulators, in-house chief compliance officers and attorneys.
Team Approach - Clients have access to our collective expertise, not just the experience of one individual.
Our Expertise that ranges across all asset classes and investment strategies.
Diverse, well-known and respected client base - ranging from start ups (including crowdfunding platforms) to firms with over $100 billion in AUM. Alaric has a rapidly growing practice among business development companies.
Customized Solutions - Key service offerings include creating implementing and administering compliance programs for firms registered with the SEC, FINRA and CFTC/NFA,supporting in-house CCO with monitoring and testing services, and serving as the chief compliance officer.
Alaric Compliance has offices in New York (HQ) and Boston, with staff located in Charlotte, Hartford and Washington, D.C.
New York, NY
Regulatory Compliance Consulting, Outsourced Chief Compliance Officers (CCOs), Principal Financial Officers (PFOs), Oversight and Monitoring Services, crowdfunding platforms, SEC, FINRA, CFTC/NFA, Business Development Companies, SEC Mock Exams, and Reg A+ Compliance