CHIEF COMPLIANCE OFFICER

We offer dedicated Chief Compliance Officer services to clients looking for more hands-on support and as their grow their firm. Outsourcing the role of Chief Compliance Officer benefits Investment Advisors by alleviating a variety of compliance related burden to us.

CHIEF FINANCIAL OFFICER

In addition to our regulatory compliance consulting services Aspect now offers a broad range of finance and operations CFO consulting services for Private Equity, Venture Capital and Hedge Funds as well as other Financial Services firms.

COMPLIANCE PROGRAM AND IMPLEMENTATION

We design custom policies and procedures based on your business and support the implementation of those controls.

REGULATORY FILINGS

Aspect Manages Your Regulatory Status and Your Regulatory Filings.

You have enough on your plate driving revenue and performance and keeping your clients satisfied. Aspect Advisors can oversee preliminary and periodic requirements to initiate and maintain the regulatory status that fits your business needs.

SEC AUDIT PREP

Regulatory examinations are inevitable and the examiners have increasingly sophisticated tools at their disposal. Our team takes audit preparedness seriously as we understand the impact that both the audit process and result can have on you from many different perspectives. To mitigate these potential issues, we implement systems of surveillance and periodic testing with the goal of identifying and reducing risk while minimizing the burden on your staff.

SCALE YOUR BUSINESS

Aspect Supports Marketing, Business Development, and Expansion. To effectively grow your business, you need confidence that your opportunity is communicated to the world in accordance with regulatory standards. We ensure that your target audience, preferred means of messaging, and marketing strategy are in line with the most recent regulatory rules, opinions, and expectations.

BESPOKE PROJECTS

Working with Aspect, you can focus on your area of expertise and grow with confidence.  We will customize solutions for all your needs. Let us know what’s on your mind.  We can help.

JULY 2022: SEC RULE PROPOSAL – ESG ENHANCED DISCLOSURES

SEC Rule Proposal – Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices  Investor interest in environmental, social, and governance (“ESG”) strategies has rapidly increased in...

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JULY 2022: CURRENT LOOK AT RISK MANAGEMENT IN CRYPTO

The past couple months have been a rough ride for crypto investors.  Valuations have come down across the board, and volatility has increased substantially.  While these market conditions have made it difficult for investors, the same conditions are testing the risk...

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JUNE 2022: CRYPTOCURRENCY REGULATION

Aspect Advisors attended the June 8th Evolution of Money: Cryptocurrency Regulation event at the Washington Post in DC. The event occurred one day after the new bi-partisan crypto legislation bill was introduced by Senators Cynthia Lummis (R-WY) and Kirsten Gillibrand...

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MAY 2022: SEC RISK ALERT – MNPI RELATED FINDINGS

The SEC recently released a short Risk Alert covering exam findings related to Material Non-Public Information. (“MNPI”) In short, advisers (Both registered and non-registered) are required to adopt policies and procedures to prevent the misuse of MNPI by the adviser...

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APRIL 2022: SEC EXAM PRIORITIES FOR 2022

The SEC just recently announced its 2022 Exam priorities.  We have reviewed them, compared them with 2021, and included some trends we have seen over the past year.   Published annually, (albeit a bit late this year) The SEC Exam Priorities outlines the SEC...

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MARCH 2022: CHEAT SHEET ON THE SEC PROPOSED RULES

On February 9, 2022, the Securities and Exchange Commission voted 3–1 in proposing new cybersecurity rules for the investment industry. The new Proposed Rules come on the tail end of a growing anxiety from increasing cybersecurity threats on a national and global...

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MARCH 2022: IA/BD COMPLIANCE UPDATE

Aspect Advisors and C-F&M 2022 IA/BD Compliance Update We wanted to take this opportunity to thank everyone who attended and participated in our 2022 compliance update hosted by Justin Schleifer, Co-Founder, President (Aspect Advisors), and Bart Mallon,...

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FEBRUARY 2022: SEC PROPOSED PRIVATE FUND RULES

The SEC has turned its attention to more carefully regulating advisers to private funds, as made clear by new rule proposals released last week. While the proposals are currently in the comment period, it seems likely that most, if not all, of the provisions of the...

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FEBRUARY 2022: BLOCKFI

BlockFi agreed to pay a $50 million penalty to the Securities and Exchange Commission (SEC) and an additional $50 million in fines to 32 states to settle similar charges. The fine is related to BlockFi Interest Accounts (BIAs) that lets clients accrue interest on...

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