About CompliGlobe

In a complex, fluid world, you need the regulatory adviser with overseas experience: CompliGlobe. Our focus is assisting financial services firms cross-border while minding their various compliance responsibilities. Whether in Asia, Europe or North America, we have specialists who have been there.

Who We Are

We have sat on both sides of the table. Founded by a former US and UK regulator, our principals are also drawn from senior regulatory and legal roles at financial services firms. As your trusted partner, we will guide you through registration or other matters with a regulator, a compliance program, training activities, company secretarial work or an anti-money laundering program. Or, let us serve as an extension of your compliance program with our CCO Assist program. We help you achieve your goals in a time- and cost-effective manner.

What We Do

• SEC practice
• Private fund advice and oversight
• Compliance programmes
• AMLTraining

CCO Assist™

We have dozens of collective years helming compliance programs. CCO Assist™ allows you to draw on that experience to strengthen your own programme. We can help you with Compliance Manuals, Codes of Ethics and monitoring and testing plans tailored to your business. We are experienced in crafting compliance training that instructs your people in how to avoid regulatory pitfalls. We will create or update (and file) your critical disclosure documents, such as Form ADV, which are important to regulators, investors and prospects. A particular specialty is assisting you in preparing highly compliant and impactful Due Diligence Questionnaires, whether in the AIMA layout or a proprietary format.

We also provide guidance and assistance for both new and experienced Chief Compliance Officers, help with implementing your compliance programme and executing tasks.

We are an extra set of hands when you need them -- “what can we take off your desk?”

Private/hedge fund setup

Our widely-published private fund professionals will assist you in establishing your hedge fund/private equity fund or other private fund.

We can provide you with guidance on selecting law firm, administrator, auditor, prime brokers and other service providers. We can assist you in structuring and navigating prime brokerage agreement -- one of our Principals is the leading expert on hedge funds and prime brokers. We can also help manage the ISDA negotiation process, with risk management a key factor.

What can we do for:

Investment Advisers and Hedge Fund Managers

• Compliance program design, implementation and support
• Manage the RFP process
• Assist with identifying and hiring compliance professionals
• Advice with Organization and Offering your Fund
• Registration with the SEC
• Guidance in forming a fund
• Mock SEC exams and Annual Reviews
• Compliance Calendar
• Compliance Training
• CCO ASSIST
• Due Diligence

Foreign Private Issuers

• Assist with filing your annual report on Form 20-f
• Guidance during the SEC review process
• Response to regulatory inquiries
• FCPA programs and advice

Overseas US issuers

• Corporate Governance
• Regulatory guidance
• Assistance with US filings (Form 8-K, Annual Report on Form 10K, Quarterly Report on 10-Q etc.)

Broker-Dealers

• Compliance program design, implementation and support
• Registration in various jurisdictions
• Regulatory guidance
• Guidance on when your activities in the US constitute brokerage (Rule 15a-6)
• Advice on distribution and marketing

AML compliance reviews