• Regulatory & Compliance

Tailored solutions, tangible success. 

Our clients know that a tailored, streamlined compliance program is a key factor for success in today’s continuously evolving and challenging regulatory environment.

BDO provides compliance and regulatory solutions to federal, state, and exempt reporting investment advisors and broker/dealers. Harnessing our extensive experience and industry knowledge, we’ve worked with advisors managing private funds, such as hedge funds, fund of funds, private capital funds, commodity pool operators, and mutual funds. We’ve also provided regulatory assistance to U.S. and foreign branch banks with embedded advisory and brokerage operations.

Our clients are Investment Advisors, Investment Companies, Private Fund Managers, Broker Dealers and Banks; related services include:

Investment Advisors, Investment Companies and Private Fund Managers
  • Compliance Program Design, Review, and Testing
  • Vendor Evaluation
  • Mock SEC Inspections
  • On-site Regulatory Support & Regulatory Filings
  • CPO/CTA  Compliance
  • Annual Self Assessment
  • CCO and Staff Support
  • Navigating Rules 17a-7, 206(3)-2 and ERISA 408(b)(19)
  • GIPS Verification
  • Dodd Frank Compliance
  • SEC Registration
 Broker Dealers
  • FINRA registration
  • Membership changes
  • State registration
  • FOCUS reporting
  • AML Compliance audits
  • OSJ/branch reviews
  • Assistance with Enforcement proceedings
  • BSA/AML compliance
  • Fair lending reviews
  • Regulatory compliance and remediation
  • Cybersecurity risk assessment
Country: United States Change