U.S. federal trademark · Serial No. 99375160 · Reg. No. 8250486
Business assistance, advisory and consulting services in the field of regulatory compliance; business advisory services regarding compliance with laws and regulations governing investment advisers, private funds, and financial service providers; business risk assessment services and regulatory compliance program development for business organizations; preparation of business reports relating to compliance policies and procedures.
Regulatory compliance consulting in the field of securities laws and investment adviser regulations; providing advice regarding regulatory compliance with fiduciary obligations and the Investment Advisers Act; development and drafting of regulatory compliance policies and procedures; compliance monitoring, testing, and review services for regulatory compliance purposes; outsourced chief compliance officer services for investment advisers and private funds in the field of regulatory compliance.
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