Institution

For established firms managing significant assets or facing heightened regulatory and investor scrutiny, a standard compliance program may not suffice. The Institutional Package provides a comprehensive, proactive, and high-frequency compliance solution designed for large, established firms. This tier offers the depth and rigor expected by institutional allocators and regulators, demonstrating a robust commitment to compliance best practices.

This premium package significantly increases the frequency of key surveillance activities, featuring monthly reviews of Code of Ethics attestations and personal trading monitoring for more timely oversight. The compliance program undergoes a thorough annual health check and testing cycle. Crucially, this tier includes annual due diligence reviews of key vendors, addressing a critical area of operational risk. You receive priority access to our senior compliance professionals for complex advice and management of all filings. Detailed monthly oversight reports ensure you have timely, comprehensive documentation of all compliance activities, supporting robust internal governance.