Our Services
Streamlining Compliance for Asset Managers
altPILOT delivers comprehensive compliance services for new or well-established registered investment advisory practices. Whether you are just starting your practice or are a well-established manager, altPILOT’s goal is to help you seamlessly navigate the ever-evolving regulatory landscape and transform compliance challenges into competitive advantages.
SEC Registration
Our SEC Registration Services streamline the process of registering investment advisers and other entities with the U.S. Securities and Exchange Commission (SEC). We assist firms in preparing, reviewing, and filing necessary documentation to register as an investment adviser with the SEC, ensuring alignment with regulatory requirements under the Investment Advisers Act of 1940.
We work closely with clients to ensure compliance with federal regulatory requirements, minimizing the risk of delays or rejections.
This service provides critical support for firms seeking SEC registration by ensuring all regulatory requirements are met, avoiding common compliance pitfalls, and positioning the firm for long-term success in the regulated investment landscape.
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Comprehensive Registration Preparation: We guide your firm through Form ADV Parts 1 and 2, ensuring all information provided accurately reflects your operations and satisfies SEC expectations.
Organizational Structuring and Compliance Advice: Our team advises on structuring your firm to meet SEC requirements and aligns compliance policies with regulatory standards.
Risk Assessments and Disclosure Reviews: We conduct thorough risk assessments and disclosure reviews to identify potential compliance risks, supporting the development of disclosures that are transparent and compliant.
Ongoing Compliance Assistance: Post-registration, we offer continued support to help your firm maintain compliance, offering updates and guidance on regulatory changes that may impact your registration status.
Program Design
altPILOT will assist the Customer in the development of a comprehensive compliance program, including tailored compliance policies and procedures designed to mitigate regulatory risks and comply with applicable laws. Provides clients with a fully integrated, tailored compliance framework that promotes regulatory adherence, reduces risk, and fosters a culture of integrity. This comprehensive solution ensures clients are well-prepared to meet and sustain regulatory standards, strengthening their position within the industry.
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Initial Risk Assessment and Compliance Gap Analysis
Tailored Compliance Policy and Procedure Development
Compliance Infrastructure and Control Design
Training and Education Programs
Compliance Testing and Monitoring Framework
Documentation and Recordkeeping Protocols
Incident Response and Remediation Plan
Program Management
Meet the evolving regulatory expectations for your firm. comprehensive approach helps organizations navigate complex regulatory landscapes, manage risk, and sustain an effective compliance culture.
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Ad hoc consultation and advice
Develop compliance calendar
Regulatory filings (Advisers Act, Exchange Act, Investment Company Act, CFTC/NFA)
Annual compliance reviews
Maintenance of policies and procedures
Code of ethics management
Drafting of forms, templates, and other practice management tools
Compliance Testing
These services provide clients with a structured approach to identifying and mitigating compliance risks, supporting a proactive compliance management framework. Regulatory-Specific testing- Tailored testing programs designed to meet the requirements of specific regulatory bodies (e.g., SEC, CFTC, FINRA), aligning testing processes with industry standards and guidelines.
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Monthly and/or quarterly compliance testing
Targeted forensic testing
Electronic, expert network and communications surveillance
Marketing and advertising reviews
Code of ethics management and administration
Documentation and Record-Keeping Checks
Compliance Training
Often overlooked, training and coaching present one of the greatest opportunities for performance improvement. As a result, a growing number of managers and allocators have begun looking at coaching as ways they can develop personnel to improve profitability, reduce risk, and increase returns.
Our customized training and coaching services help you reduce regulatory compliance risks, improve ODD performance, elevate your internal capabilities, and align your team to critical business and regulatory objectives.
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Most training initiatives fail to realize the uniqueness of individual managers. “One size fits most” programs are little more than either a recitation of the law or a generic process typically offered as a commodity to large numbers of clients.
altPILOT aims to rethink traditional training by providing customized, collaborative training and coaching services with measurable results. Our programs are designed to not only “check the box”, but seek to also deliver measurable reductions in regulatory risks, improve ODD performance, and elevate your internal compliance and diligence capabilities.
How We Help:
Regulatory Compliance Education and Coaching. custom and programmatic education seminars, chief compliance officer (CCO) coaching - designed to reduce risks, align your team and develop your internal resources
ESG-focused training. custom education and coaching to reinforce your organizational priorities, instruct regarding the implementation of ESG policies and procedures, and educate regarding emerging regulatory and investor due diligence - designed to reduce regulatory risks and improve performance in investor due diligence.
Mock Examination
This service provides critical support for firms seeking SEC registration by ensuring all regulatory requirements are met, avoiding common compliance pitfalls, and positioning the firm for long-term success in the regulated investment landscape.
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This service provides critical support for firms seeking SEC registration by ensuring all regulatory requirements are met, avoiding common compliance pitfalls, and positioning the firm for long-term success in the regulated investment landscape.
Outsourced CCO
With the increasing burden and complexity of regulation, the CCO serves both a required and essential function in investment advisory firms. However, because of the cost and scarcity of professionals who possess the expertise necessary to fill this critical role, managers have increasingly looked to outsourcing as a potential solution.
The problem with traditional outsourced CCOs is that most employ template “one size fits all” processes and generally fail to integrate with business management. Too often, this reseults in an ineffective compliance program which dramatically increases regulatory risk and scrutiny.
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We have reimagined the outsourced CCO to not only address the inherent weakness of traditional outsourced services, but to also take advantage of our independence, expertise and effectiveness to deliver value-add services.
Unlike in-house employee CCOs, we deliver decades of experience and compliance expertise, and are independent of the inherent conflicts of interest in an employer-employee relationship.
Cyber Security
Our cyber security service offering ensures compliance with regulatory standards, providing risk assessments, threat monitoring, and tailored security frameworks to safeguard client data and meet industry regulations. altPILOT will draft and develop tailored cyber security and information security policies and procedures, using a NIST framework as applicable and appropriate for the customer.
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Cyber and Information Security Training
Penetration Testing
Vulnerability Scans
Phishing
Ready to strengthen your compliance program?
Get in touch today to discuss customized solutions for your firm's needs.