Investment Management
Contact:
Fred NittingNational Director for Financial Services
fnitting@accumepartners.com
Mobile: 646.375.9500
Non-compliance with SEC and state regulations represents real risk as proven by the significant outflows of assets under management from investment advisors who have found themselves in the headlines.
At Accume Partners, we understand the industry’s ever-increasing focus on risk management. Grounded in risk-based assessments for internal auditing, Accume Partners has been able to leverage our industry knowledge to develop comprehensive business solutions for the investment community. Members of our national practice have held positions ranging from: senior SEC examiner, CCO, CFO, COO, senior trader, fund accountant and chief audit executive.
Accume Partners offers compliance, risk management, internal audit, operations management and IT management services to Registered Investment Advisors, hedge funds, private equity firms, transfer agents and broker-dealers.
We have demonstrated value to our clients in areas including:
- Mock SEC and State Examinations
- Annual Compliance Reviews
- Due Diligence – Third Parties/Acquisitions
- Internal Audit
- Sarbanes-Oxley Compliance
- Sales and Marketing Practices
- Operations Management (Execution, Processing, Settlement and Accounting)
- Policies and Procedures for Code of Ethics, Anti-Money Laundering, Personal Trading, Privacy, Proxy Voting
- Business Continuity Planning
- Infrastructure Assessment
- NASD 3010 Code of Conduct review
Related Industry Resources:
- Business Finance Magazine - http://www.businessfinancemag.com/ - resources, podcasts, news
- EVCA - http://www.evca.com/html/home.asp -news, events, publications by European Private Equity and Venture Capital Association
- Financial Times - http://briefings.ft.com/company/ -market data
- Investment Company Institute - http://www.ici.org/ - key issues, publications
- Investment News – www.investmentnews.com – daily news for financial advisors