WE ARE COMPLIANCE EXPERTSWe have years of experience as Chief Compliance Officers and compliance personnel at financial services firms.
WE ARE HIGH-TOUCH SPECIALISTSWe work closely with clients and staff, including onsite capabilities.
WE HAVE COMPLIANCE BACKGROUNDSOur expertise allows us to build comprehensive compliance programs for the unique needs of each client.
OUR CLIENTS TRUST USWe maintain long-term partnerships with Sansome clients and are always on the lookout for them.
We offer compliance audit services for registered investment advisers, commodity trading advisers, commodity pool operators and private fund and other asset managers. Our in-depth understanding and expertise of compliance requirements and applications mean that our review of your current compliance program will be with discerning and qualified eyes. Our review of your policies & procedures will be thourough and timely so you can take the results and put them into action right away.
Sansome offers regulatory compliance audits. These are frequently called “mock examinations” and can be traditional, risk-based or targetedbased on our initial consultation with the client. While actual audits and mock exams typically cover at least a year of a firm’s operations, Sansome also offers mock exams covering a fiscal quarter, which can be more cost-effective and efficient to mana