Regulatory Compliance Services

Blue River maintains all aspects of the compliance program specific to the client’s regulatory requirements: SEC (Advisers Act and Investment Company Act), NFA/CFTC, FINRA or State. Unlike a consultancy, Blue River proactively manages the compliance program and function as the compliance staff for the investment manager.

As part of our ongoing compliance services, our clients have access to a web-based compliance portal that is customized to the investment manager’s specific compliance program. Additionally, Blue River performs a quarterly review of the entire compliance program and provides recommendations for any changes or updates.

Blue River can assist with any needs relating to the investment manager’s compliance program including:

  • Regulatory Registration and Compliance Program Build-Out
  • Ongoing Program Management
  • SEC Mock Exams and GAP Assessments
  • Quarterly and Annual Reviews
  • Regulatory Inquiries and Examination Support

Please contact Blue River for assistance with your regulatory compliance service needs.