Compliance

ALPS offers a comprehensive system for documenting, maintaining, and communicating policies, procedures and controls to help our clients remain in compliance with all  industry regulations. Real-time reporting and notification of regulatory changes ensures that our clients are kept abreast of key industry issues.

• Compliance oversight of services offered by ALPS
• Compliance assurance and support, including:
  • Consultative services
  • Quarterly compliance representation letters
  • Coordination of on site visits for fund CCOs
  • Communication of regulatory examination results
  • Independent annual reviews of ALPS’ compliance program
• Access to the policyIQ^® content management system to provide clients with:
  • Access to control review reports
  • Current regulatory updates and monitoring
  • Access to current policies and procedures
  • Risk profiling information