Startup

Launching a new firm comes with immense pressure, and establishing a compliant operational framework from day one is critical but often resource-intensive. The Startup Package is specifically designed for emerging managers and smaller firms (up to 5 licensed staff) needing essential compliance support without the overhead of a large internal function. We focus on building the core elements necessary to meet regulatory expectations efficiently and affordably.

This package provides the foundational policies, manages essential regulatory filings, and implements key monitoring routines on a manageable cadence. It includes quarterly reviews of personal trading and Code of Ethics attestations, ensuring basic conduct oversight. Annually, we perform critical enterprise-wide, AML, and ESG risk assessments, coupled with bi-annual reviews and testing of the overall compliance program to identify potential gaps. You receive quarterly reports detailing activities performed, providing the necessary documentation for your oversight obligations, alongside access to basic regulatory advice when you need it.