Empowering firms and investors with dynamic end-to-end consulting and innovative technology
Unlike a consultancy, IQ-EQ’s U.S. Regulatory Compliance team takes ownership of an investment manager’s compliance program and functions as the compliance staff for the investment manager.This includes handling all relevant U.S. regulatory requirements of the SEC, NFA/CFTC, State(s), 40 Act and FINRA.
As part of our ongoing compliance services, our clients have access to a web-based compliance portal that is customised to the investment manager’s specific compliance program. Additionally, IQ-EQ performs a quarterly review and testing of the entire compliance program and provides recommendations for any changes or updates.
We also leverage gVue, our proprietary software that automates and retains all compliance processes and procedures.
Regulatory Compliance
Take the confusion out of compliance
Today’s regulatory environment gets complicated fast—but our expert, ongoing support makes compliance a breeze. We offer comprehensive support on a wide range of regulatory consulting projects, from mock examinations and gap analysis to SEC monitorships.
Outsourced CCO Services
Satisfy the most exacting regulator or investor
Outsource your CCO role to our team of best-in-class compliance professionals. We design and administer custom-built compliance programs under our proprietary governance model to ensure that our executive board has direct oversight and control over our engagements. If structured and implemented correctly, outsourcing your CCO role can be an efficient and cost-effective way to oversee the implementation of your compliance program.
Compliance Technology
Stay a step ahead with technology
Manage and monitor your firm’s compliance activities with gVue, our industry-leading technology platform. Maintain investor privacy, receive automated reminders, and efficiently track compliance activity without generating a pile of paperwork.
