Cedar Mountain provides family office clients with comprehensive regulatory services. We know it is critical to set a culture of compliance early on. We ensure you have the right controls in place so that you can focus on your business. We have significant experience with family office clients. Our family office service group provides affluent families and family offices with a range of services including risk mitigation and compliance services.
From years of working with family office clients, we know that each client must work with a single-lead partner, and have a very customized approach to their operations. We can assist you whether your family office is mature with a large sophisticated staff or has just formed after a significant financial event. We are high touch and our comprehensive list of services allows you unlimited email.
- SEC registration as a Registered Investment Adviser if required
- Assistance with licensing investment advisory representatives
- Create customized policies and procedures manual
- Create Code of Ethics and work to identify, and disclose, potential conflicts of interest
- Due diligence of non-registered investment products (including private funds, hedge funds, private equity, venture capital, real estate
- Background checks on all employees/consultants
- Assist with drafting of privacy policy
- Assist with regulatory audits and/or inquiries
- Operational Due Diligence
- Vendor due diligence
- Risk assessment and risk management (please specify what you mean here as well)
- Implement policies and procedures to ensure compliance with the Custody Rule 6(4)-2
- Annual compliance review, in accordance with Rules 206 (4)-7
From years of working with family office clients, we know that each client must work with a single-lead partner, and have a very customized approach to their operations. We can assist you whether your family office is mature with a large sophisticated staff or has just formed after a significant financial event. We are high touch and our comprehensive list of services allows you unlimited email.