Fund Officers are a mandate, but it doesn’t have to be hats you wear. PINE delivers independent Fund Chief Compliance Officer and Fund Principal Financial Officer/Treasurer solutions.
On the compliance front, you can expect customized policies, and routine compliance monitoring and testing. While our experienced Fund Treasurer’s offer detailed oversight of fund operations, expense payments, audit preparation and financial fund governance. Secure your registered funds with a team that prioritizes your firm’s integrity.
Strategic Compliance Assurance
Leverage our expertise to ensure your fund is not just compliant, but ahead of the curve. Our customized compliance programs and proactive testing safeguard your operations against an ever-evolving regulatory landscape.
Entrust your financial governance to our seasoned Fund Treasurers, who bring unparalleled precision to fund operations, expense management, and audit facilitation—ensuring your fund's financial practices are beyond reproach.
Embrace the synergy of having dedicated officers aligning with your operational ethos, empowering your team to focus on core investment strategies while we manage the crucial, yet non-core, intricacies of fund oversight.
Stay audit-ready with a team that not only prepares but fortifies your position with detailed financial reports and governance structures designed to withstand the most rigorous audit processes.
With PINE's vigilant oversight, your fund's risk exposure is meticulously managed. Our tailored policies and continuous monitoring mean potential issues are identified and addressed before they can become liabilities.
Frequently Asked Questions
Working with PINE Compliance has significantly improved my peace of mind. When I initially ventured into the world of ETFs, my biggest concern was not knowing what I didn't know. PINE has effectively assumed the role of Chief Compliance Officer for our fund, allowing me to focus on my strengths. The consistent and open communication we maintain ensures we stay on top of all compliance-related tasks. Their expertise has been invaluable in establishing and maintaining an institutional-level compliance program. I wholeheartedly recommend PINE; they've been an indispensable asset to our organization.
Bradley R. Roth – THOR Financial Technologies, Chief Investment Officer
We view PINE as a true partner, not just a service provider. Their responsiveness, attention to detail and specialized expertise have been a critical part of our success as an asset manager. By partnering with PINE, we have been able free up our time and resources to focus on what we do best, allowing us to deliver a better investment solution for our clients.