Asset management regulatory and compliance services
The current regulatory environment has investment management firms grappling with a growing number of requirements and expectations from both regulators and investors. The consequences of non-compliance with those requirements and expectations are regularly in the news and key stakeholders, such as investors, boards of directors, regulators and the public in general, are increasingly questioning the effectiveness of existing compliance programs.
A sound system of compliance controls is essential in protecting your firm from business, regulatory and reputational risks. A strong compliance function will also become a factor of increasing importance which will define and set a firm apart from its competition.
Our asset management regulatory team, a part of our national FS regulatory practice, includes a group of experienced professionals with diverse backgrounds in the asset management industry. PFM is able to assist our investment management clients anywhere in the world.
Our team includes:
- SEC examiners
- Compliance Officers
- Forensics and investigations specialists
- Data and systems specialists
Our mission is to assist asset managers in identifying, assessing, and controlling business, operational, and compliance risk in an efficient and cost-effective manner. What sets PFM’s investment management regulatory team apart is its commitment to learn and understand the unique operations of each investment management firm and provide tailored controls and solutions for your unique regulatory and compliance issues.