Outsourced Compliance & Regulatory Reporting Services

Regulatory reporting requirements are constantly evolving and in recent years have expanded tremendously and grown increasingly complex. Mitigating risk around non-compliance should be a priority for all investment advisors. The first step in this is to have a comprehensive understanding of all the regulations and requirements to which you are subject. Next, you must ensure that you implement well designed operational and compliance policies encompassing procedures designed to ensure adherence to all requirements and to alert you on a timely basis of any potential issues. Ensuring ongoing monitoring and oversight of these processes is critical to facilitating smooth and successful operations into the future.

Does strategic outsourcing make sense for your business?

  • Do you lack a comprehensive understanding of all of the relevant regulations and related reporting requirements to which you are subject?
  • Have you failed to implement policies and procedures designed to ensure compliance?
  • Have you experienced any recent violations and are unsure as to how your existing systems failed to alert you of the impending issue?
  • Do you have a strong regulatory reporting process in place?
  • Are all employees required to be registered with the NFA properly registered?
  • Do you have a strong disaster recovery plan in place?
  • Is performance being calculated and presented in accordance with NFA guidelines?
  • Are marketing materials being properly prepared and do the include all required disclosures?

The Beacon Consulting Group​ Solution

Beacon Consulting Group’s compliance expertise is focused primarily in the area of alternative asset management. Drawing on our team’s experience as a compliance officer (and for a time, the CCO) for a registered investment advisor, commodity pool operator and commodity trading advisor, Beacon Consulting Group is quite versed in the area of NFA registration and related regulatory filings. We can help you build a strong regulatory reporting environment with processes designed to ensure compliance. Beacon Consulting Group also can partner with your outside counsel to assist with SEC related compliance considerations and can review your infrastructure to ensure it is equipped and operating with procedures designed to support the policies of your Compliance Manual. We work with clients in all stages of registration – from initial registration through registration withdrawal. Our expertise and resources provide clients with cost-effective solutions to complex issues.

Beacon Consulting Group’s process begins by gaining a comprehensive understanding of each clients’ business and the regulatory landscape in which they operate. We then assess areas of concern/need in conjunction with evaluating existing internal staff capabilities to develop a customized solution that will add value, provide the highest quality of service and produce maximum results.

 

Beacon Consulting Group’s Service Offerings

  • Prepare Forms PR & PQR
  • Prepare Form PF
  • Perform NFA Annual Self-Examination
  • Prepare NFA Annual Questionnaires for CPOs & CTAs
  • Prepare Annual Pool Questionnaire & Financial Statements Submission for NFA
  • Monitor Firm’s Compliance with NFA Regulations
  • Monitor ERISA Compliance
  • Facilitate Required Periodic Ethics Training
  • Review Investor Statements for Compliance
  • Review/Draft Affirmations
  • Disaster Recovery Plan Review
  • Regulatory Audit Support Services
  • Marketing Material Review
  • Compliance Documentation Review
  • ADV Update Support