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Recent Trading Compliance Inquiries

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Hedge Fund Compliance

Interested in a hedge fund policies and procedure compliance manual used as a reference. Thanks.

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    James |Principal

    I am specifically aware of hedge fund policies ***** broad *****ection. Other types...

    1.2 Hours Later
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    Dennis |President Inc.

    This is not my area of expertise. I am in the ***** product side of the business....

    1.3 Hours Later
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    Antoine |Chief Compliance Officer & Counsel

    An "off the shelf" policies and procedures manual would not be acceptable by *****orities....

    1.6 Hours Later
+9 Other Responses
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Prime Brokerage

Looking for an expert in prime brokerage and correspondent clearing, who understands clearing agreements and schedule a pricing schedules for a finra registered broker dealer

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    John |CEO

    I run a *****ulting and support firm in New York and have an expert in Prime Brokerage. P...

    14.6 Hours Later
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    Tarik |VP Relationship Management/Sales

    We are experts in regarding FINRA and procedures in the financial services industry. Please contact ...

    2.8 Days Later
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    Tom |CEO

    Thanks but this is not for us...

    5.9 Days Later
+4 Other Responses
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Pharma & Medical Device Compliance

Our us firm is requesting individuals knowledgeable of either the fda or us dept. Of justice who are familiar with pharma industry and/or medical device industry compliance, including familiarity with the affordable care act (aca's) the physician payments sunshine act (ppsa) regarding disclosures of payments made to key opinion leaders by pharmaceutical and medical device companies. Secondly- i'm looking for someone from the usa who is a compliance specialist in either of the industries mentioned above (medical device and/or pharma) who is familiar with the "sunshine act" and has deep experience in helping these companies meet their disclosure requirements to the government. Referrals are also welcomed, thank you.

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    Risk And Compliance Diversity

    We are a global market research firm and are seeking experts who can assist us in determining the following in the risk and compliance consulting space in the u.S. From diversity standpoint - key questions: 1. How are leading investment, wholesale and retail banks sourcing the governance, risk and compliance (grc) consulting category? O have they introduced supplier diversity in grc segment? O what is the top % diversity possible in the risk and compliance consulting category? O are the diverse suppliers willing to work with mainstream non-diverse suppliers? O deep dive to understand the roles and responsibilities of diverse suppliers o case studies on how budge brackets and large banks have successfully brought diverse suppliers into their network o list of the diverse suppliers that the big 4 accounting and big 3 consulting firms usually engage (sub-contract) with o list of partnerships among the diverse pool of suppliers 2. What are possible engagement models that can be implemented to include diverse suppliers? O is sub-contracting a viable model to include diversity in grc consulting services? O industry practices in including diversity in contracts and msas. How scope of work and involvement is carved out for diverse suppliers? Ideal candidates should have deep knowledge of integrating diversity suppliers in the risk and compliance consulting space. We are looking for a phone consult for a time period of 1 hour to discuss all points mentioned above. Kindly drop in a note with your cv/relevant experience in the risk and compliance consulting market, if you are interested to proceed. Best regards, ram

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      Ria Regulation And Compliance

      We are looking for an expert within the ria industry to help us understand the current ria market. We are looking for one or multiple 1 hour phone calls with a highly qualified and knowledgeable expert that can clearly explain the state and federal regulation governing rias, the mechanics of upkeeping and staying within compliance, and future regulation that will affect the industry

        +undefined Other Responses
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        Hedge Fund

        Where do i find a hedge fund policies and procedure compliance manual?

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          James |Owner / Founder

          There are no manuals as such but I can assist you with compliance models adopted by major hedge fund...

          12 Minutes Later
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          Mark |Market Data Manager

          hello, is this for a start up fund? (new fund)...

          17 Minutes Later
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          Cyber |IT Security Analyst Consultant

          Try *****.hedgefundsx.com/...

          26 Minutes Later
        +19 Other Responses
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        Pharmaceutical And Medical Device Compliance

        Our us firm is requesting individuals knowledgeable of either the fda or us dept. Of justice who are familiar with pharma industry and/or medical device industry compliance, including familiarity with the affordable care act (aca's) the physician payments sunshine act (ppsa) regarding disclosures of payments made to key opinion leaders by pharmaceutical and medical device companies. An ideal expert may be both (1) an attorney and (2) has experience defending or representing pharma or medical device companies on compliance issues? Secondly- i'm looking for someone from the usa who is a compliance specialist in either of the industries mentioned above (medical device and/or pharma) who is familiar with the "sunshine act" and has deep experience in helping these companies meet their disclosure requirements to the government. Referrals are also welcomed, thank you.

          +undefined Other Responses
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          Pharma & Biotech Regulation And Compliance

          We are a small private equity fund looking for corporate attorneys from "white shoe" firms who have experience engaging with clients in the pharmaceutical and/or medical device industries regarding kol compliance (as regulated by the fda, oig, and/or us doj or similar entities in other countries). Have questions about trends concerning regulation of kol engagement, particularly with regard to "anti-kickback" legislation and the need for companies to monitor and track their kol engagements and payments in particular.

            +undefined Other Responses
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            Outsourced Compliance Services

            New ria looking to hire an ongoing outsourced compliance firm

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              Philip |Managing Principal

              Where are you located? Position may be of interest to me....

              2.9 Hours Later
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              Rajagopalan |Chartered Accountant in practice

              please inform the description of the work *****r 7x462R...

              8.9 Hours Later
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              Jeffrey |VP/Director

              Are you still in need of an expert?...

              71 Days Later
            +4 Other Responses
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            Outsourced Compliance Officer Services

            We are a registered investment advisor in the process of creating our own fund of funds. We currently have a cco, but would like to evaluate the outsourced compliance officer programs. We are located in st louis mo.

            1. Profile Picture

              Rich |Founder and CEO

              To whom it may concern, I'd happy to discuss your needs further to develop a formal proposal for ser...

              1.4 Hours Later
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              Matthew |CEO

              This is what my firm does. We would be happy to discuss a proposal. Matt...

              5.9 Days Later
            +3 Other Responses
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            Broker/dealer Compliance

            We are looking for a compliance consultant for our small, independent b/d to prepare for annual sec, occ and finra exams. We have an in-house compliance officer and legal consultancy covered. We also have an outsourced auditor.

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              Jeffrey |Chief Compliance Officer

              I would be interested in ***** your *****. I am an experienced B/D Chief Co...

              1.4 Hours Later
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              Elina |Vice President

              Hello, I currently work in the Oversight and Monitoring Group (*****) of a large internat...

              7.3 Hours Later
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              Gregory |CEO

              Hello: I read your ad and it looks like you're preparing for various *****s (or at leas...

              21.1 Days Later
            +3 Other Responses
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            Compliance

            New ria (35-40 million aum) seeking sec compliance consultant for document review and compliance testing.

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              Diane |President

              I'd be happy to schedule a call a no cost in order to discuss your compliance needs....

              33 Minutes Later
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              Cyber |IT Security Analyst Consultant

              Thank you for contacting me however, your inquiry doesn't provide a lot of details to what your busi...

              35 Minutes Later
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              Michael |CEO

              I would be happy to discuss this opportunity with the company champion. *****liance initia...

              1.3 Hours Later
            +10 Other Responses
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