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Navigating Regulatory Terrain with Expertise

In the intricate dance of financial compliance, every step counts. PINE transforms regulatory complexities into clear pathways, offering a bespoke blend of vigilance and strategic insight.

Navigate the complexity of regulatory compliance with PINE as your guide. From SEC exam support to designing firm-specific policies and procedures, our compliance team is your dedicated resource for meeting and exceeding 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.

I am a C-Suite Operating Executive with expertise as a General Counsel and a Chief Compliance Officer. I have been successful in leading business initiatives in Fortune 100 companies as well as a founding member of four highly successful financial service start-ups. I chose the PINE team to assist me in my latest venture and am extremely happy with the Adviser Compliance Support Services that they provide. PINE is a high touch, business focused organization. The services provided are delivered professionally with minimal input from me or my organization. I could not be happier with the team nor the results. The ongoing support and oversight provided is better than I could have created in house at any price.

Nick Dalmaso – Sound Capital Solutions, Managing Director, Legal