Adviser Compliance Support Services
Navigating Regulatory Terrain with Expertise
Financial compliance demands accuracy and consistency. PINE turns regulatory complexity into clear guidance, combining diligent oversight with practical strategic insight.
Partner with PINE to manage your compliance needs. From SEC exam support to firm-specific policies and procedures, our compliance team helps ensure you meet and exceed industry standards.
Seamless Regulatory Navigation
PINE’s adept compliance team provides an unparalleled understanding of the advisor regulatory framework, ensuring your firm not only meets but transcends legal and ethical standards. We turn the maze of regulations into a structured path towards compliance excellence.
Bespoke Policy Crafting
With a finger on the pulse of ever-shifting regulatory demands, PINE designs and refines policies and procedures tailored to the unique contours of your firm. Our personalized approach means your compliance infrastructure is as distinctive as your business.
Proactive Risk Mitigation
Engage PINE for a proactive stance on compliance. Our foresight in identifying potential risks and implementing preventative measures protects your firm from regulatory pitfalls before they emerge.
Operational Efficiency
By streamlining compliance processes, PINE enhances operational efficiency, allowing you to devote more resources to your core business activities. Our support helps to alleviate the burden of compliance, transforming it from a requisite task to a strategic advantage.
Dedicated Support During Exams
When the SEC comes knocking, PINE stands firmly by your side. Our team provides rigorous exam support, assisting through pre-exam preparation, on-site assistance, and post-exam follow-up, ensuring that your firm presents itself with informed confidence.
Frequently Asked Questions
PINE offers a wide range of compliance support services tailored to investment advisers. This includes becoming the outsourced CCO, providing staff to support your in-house CCO, helping firms register as an RIA or make transitions between regulatory regimes, launching new pooled investment vehicles, and ongoing compliance program management.
PINE employs a risk-based approach and conducts a thorough risk assessment of each adviser to understand their specific business activities and risks. Based on this, PINE develops customized policies, procedures, manuals and trainings to build a compliance program tailored to their needs.
PINE can assist investment advisers with transitions between all regulatory regimes including state to SEC registration, SEC to state registration, transition from Exempt Reporting Adviser ("ERA") status to Registered Investment Adviser ("RIA"), and registering as a new RIA. The ideal time to engage PINE is at the beginning of your transition or registration process so we can manage the entire process including drafting documents, filing paperwork, updating compliance programs, training staff, and ongoing support. However, PINE can provide specialized compliance expertise and support at any stage of the transition or new registration process.
PINE can serve as the outsourced CCO for select firms that want dedicated CCO support without having to hire internally. This involves taking on the full responsibilities of CCO including managing the compliance program, regulatory filings, examinations, and more.
PINE actively monitors regulatory changes, regularly updates policies and procedures, and provides ongoing staff and client training on new rules to remain up-to-date.
PINE has specialized expertise in compliance for pooled vehicles like mutual funds, ETFs, and private funds. PINE can assist with launching new vehicles, managing ongoing compliance, and staying current on related regulations.
