If you are thinking about creating a new investment advisory firm, Nottingham can guide you through the process, assist you with the formation and registration of the investment advisory firm and the creation and implementation of the firm’s compliance program, and provide ongoing oversight of the compliance program.
If you are looking for a more cost-effective solution for your existing compliance program, Nottingham offers a range of solutions. Nottingham can consult with you and your in-house compliance team to provide an analysis of and enhancements to your existing compliance program. Nottingham can provide an outsourced CCO who will assume ongoing oversight of your existing compliance program. Nottingham also has the technical expertise to offer certain testing and monitoring solutions, such as portfolio compliance and liquidity risk management tracking.
Under each option, Nottingham personnel can lead and direct the investment adviser in the administration, oversight, monitoring and testing of the compliance program, and work in conjunction with appropriate internal personnel and senior management at the firm to adequately and effectively discharge its responsibilities under the Advisers Act, 40 Act and other applicable federal and state securities laws and regulations.
Nottingham’s team has extensive experience across the industry including prior experience working at investment firms, securities regulators, law firms and compliance consultants. This experience, coupled with the firm’s decades of experience in fund accounting, administration and transfer agent services, enables Nottingham to provide a high quality and cost-effective solution to address your compliance needs.