Core service
We work with investment advisers, commodity pool operators, broker-dealers, and municipal advisers. Our clients generally service private funds, registered funds, high net worth individuals, retail investors, and commodity pools.
Our core offering is a comprehensive compliance program. OCG will work with your CCO on an on-going basis to develop and maintain a customized compliance program that address all aspects of your regulatory obligations. We start by documenting a comprehensive risk assessment, drafting your policies and procedures, and developing a customized compliance calendar to test established policies and procedures. Testing and regulatory filings completed throughout the year culminates with the drafting of your annual compliance report. See testing program below for details on the testing and regulatory filings we complete.
In certain circumstances, we will serve as a client's outsourced Chief Compliance Officer.
We have regular recurring calls with our clients and our core service includes unlimited consulting to ensure we are kept up to date on your business changes and can adapt your compliance program, as necessary.
Outsourcing your compliance program affords you the benefit of working with a team of compliance professionals. Investing in qualified compliance resources allows you to avoid mistakes that could lead to deficiencies, enforcement actions, lost clients, or a damaged reputation. When you partner with OCG, we will customize your service, ensuring your pain points are addressed.
Our testing program
Our web-based testing program includes over 100 tests and filings, which we customize to each client. Our compliance program is continuously monitored and updated for new regulations, risk alerts, best practices, and enforcement actions.
OCG utilizes Orion Compliance to fuel its proprietary compliance program.
Orion Compliance is an end-to-end compliance management solution, built upon an always exam-ready reporting infrastructure.
Project work
- Registration with the SEC, FINRA or CFTC
- Regulatory Filings:
- Section 13 Filings
- Form D and Blue Sky Filings
- Form ADV
- U4/U5
- Form PF
- CPO-PQR and CTA-PR
- SEC and FINRA Examination Support
- Mock Examinations
- Drafting Policies and Procedures and Risk Assessments
- Testing Projects, for example:
- Email Review
- Code of Ethics Monitoring
- Marketing Reviews
Your compliance partner
Need ongoing compliance support? Questions about a new Regulation? New registration or project?
FAQ
What type of clients do you work with?
Registered investment advisers, broker-dealers, municipal advisers, commodity pool operators, and commodity trading advisors. Our clients generally service private funds, registered funds, high net worth individuals, retail investors, and commodity pools.
What is your specialty?
Our core offering is a fully outsourced compliance program. OCG will work with your CCO on an on-going basis to develop and maintain a customized compliance program that addresses all aspects of your regulatory obligations. We start by documenting a comprehensive risk assessment, drafting your policies and procedures, and developing a customized compliance calendar to test established policies and procedures. Testing and regulatory filings completed throughout the year culminates with the drafting of your annual compliance report.
We have regular, recurring calls with our clients on a frequent basis and our core service includes unlimited consulting to ensure we are kept up to date on your business changes and can adapt your compliance program as necessary.
Will you do project work?
Yes, we can help new clients register with the SEC, FINRA, or NFA/CFTC regulators. Clients can also engage us to draft policies and procedures, complete a mock regulatory examination, or ad hoc testing/project work. We believe that all advisors would benefit from our core offering!
How quickly can you get me a quote?
In most cases we can provide you with quote within 24 hours.
When can you start working on my compliance program or project?
We are accepting new clients and currently are able to begin work immediately!
