US regulation

The current economic and regulatory climate has forced many investment advisers to re-evaluate their business models and to examine the greater role that regulatory compliance plays within their firm.  Most industry participants realise that an upfront investment in a robust compliance infrastructure will reap dividends down the road and is vital to the longevity of their firm. A strong compliance program will enable a firm to save costs in the long run that may occur as a result of potential regulatory enforcement efforts, penalties and reputational damage.

The SEC (Securities and Exchange Commision) in particular has ramped up its investigative and enforcement efforts, with 531 formal investigations in 2010, 681 enforcement actions and over a $1 billion in civil penalties compared with $345 million in 2009. SEC’s Office of Market Intelligence now receives 1-2 "high quality” tips per day.

Kinetic Partners' Regulatory compliance team has many years of experience working within the advisory industry, drawn from roles as attorneys, fund administrators, compliance officers and regulatory agents. Our global presence gives us the ability to harmonise and streamline compliance practices and procedures to meet new global regulatory standards. Our consultants possess an in-depth knowledge of SEC rules and regulations, including Dodd-Frank and its implications for investment advisers, private equity funds, hedge funds, broker-dealers, large traders and investment banking firms.

• Investment adviser services
• Broker-dealer services

For further information about the regulatory and compliance services we offer in the US marketplace please contact Neil Morris, Chris Lombardy or Jonathan Saxton in our New York office.