Compliance Documents

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

how we work

Our Day 1 compliance offering begins with a workflow similar to the steps outlined below.

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