Welcome to Compliance Corner! ICSGroup will bring you monthly updates on regulatory trends and issues affecting investment advisors, particularly the issues that are most relevant to advisors of PE funds. Our goal is to help NAIC member firms develop and implement robust compliance programs that meet regulatory requirements and institutional investor expectations. We hope you find this information helpful and welcome your feedback.
– Medina Jett, President, ICSGroup
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) recently shared its observations, common deficiencies and compliance issues from examinations of private fund advisers. The
Though COVID-19 has mandated a change of work environment for many in our industry, regulatory compliance must still be maintained to the same pre-pandemic level.
The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) recently announced its 2020 Examination Priorities reflecting OCIE’s assessment of key risks
Founded in 2008, ICSGroup is a boutique compliance firm that provides regulatory compliance services to registered investment advisors, including advisors to private equity funds, hedge funds and fund of funds, banking institutions and insurance companies. Prior to starting ICSGroup, its founder, Medina Jett, served in senior compliance roles at several large financial services companies where, in spite of good values and a strong ethical culture, compliance was often at odds with business interests.
Medina envisioned an easier way to deliver compliance services. ICSGroup partners with its clients to create risk-appropriate compliance solutions, to integrate compliance procedures seamlessly into business practices, and to create a culture of employee engagement, while meeting regulatory expectations and enhancing investor confidence. ICSGroup is a minority and woman-owned business enterprise with offices in downtown Hartford, CT and downtown Manhattan.
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