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 Investment Adviser > Off-Site Compliance Review

Off-Site Compliance Review
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SCA offers an off-site compliance review of the following:    

Compliance policies and procedures

Form ADV Part II

Investment management agreements

Code of ethics

Results of annual review of compliance program

Risk assessment

Marketing and performance material

Contracts and agreements with third parties

For Hedge Fund managers the review also includes:

Private Placement Memoranda

Subscription Agreements

Other offering documents

Due Diligence Questionnaires

Presentation brochures


 

 

 

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