logo background ALPS Inc.
ALPS Inc Contact Icon ALPS Inc Menu Icon

ALPS Compliance offers a suite of compliance assurance, monitoring, and oversight services tailored to meet the individual needs and regulatory challenges faced by investment advisers, registered investment companies, and hedge funds/alternative investments. Our unique approach and application of best practices is drawn from our diverse network of industry professionals, service providers, vendors, and exposure to regulators.

Client Fund CCO
Assurance

  • Quarterly compliance 38a-1 representations
  • Independent control and supervisory reviews
  • Online access to ALPS policies and procedures
  • Regulatory monitoring and updates

Investment Restriction Monitoring and Reporting

  • Regulatory and customized rule-building technology
  • Daily/Monthly post-trade monitoring and reporting
  • Online client access capabilities

Fund CCO Services

  • Provide qualified fund CCO and experienced staff support
  • Fund compliance program and summary of service provider procedures
  • Risk assessments and ongoing compliance monitoring
  • Quarterly and annual compliance reports
  • Service provider/investment adviser due diligence

Broker-Dealer Services

  • Statutory Distribution Services
  • Broker-Dealer Support
  • Private Fund Broker Dealer Services
  • Broker-Dealer Registration

Other Compliance Services

  • Code of Ethics Administration
  • AML/CIP Monitoring
  • Investment Adviser Sales Literature Review
Contact ALPS
ALPS
Denver
Dallas
Miami
  • 2699 S. Bayshore Drive
  • 9th Floor
  • Miami,FL 33133
  • 305.859.7000
San Franscisco
  • 235 Pine Street
  • Suite 1825
  • San Francisco, CA 94104
  • 816.737.6665
Toronto
  • ALPS Fund Services Canada, Inc.
  • 30 Adelaide St. East, #1
  • Toronto, Ontario M5C 3G9
  • 416.506.8305
Boston
  • One Financial Center
  • 15th Floor
  • Boston, MA 02111
  • 617.426.1745
Grand Cayman
  • Landmark Square, 1st Floor
  • 64 Earth Close
  • Grand Cayman KY1-1107
  • 416.654.5767
New York
  • 1177 Avenue of the Americas, 5th Floor
  • New York, NY 10036
  • 646.452.7070
Seattle
  • Bellevue Place
  • 10500 NE 8th St. #1000
  • Bellevue, WA 98004
  • 425.454.3770
 
  •  
  •  
  •  
  •  
  •  
  •  
  •