New York City                                         Westchester
Serving the alternative investment funds industry
Outside CCO
For those fund managers that wish to outsource the entire compliance function
(including, when appropriate, the title of CCO) to an outside service provider, we
offer a complete package of compliance management services, including:

Initial Setup Activities:

Compliance program review
Preparation of a Compliance Manual
Establishment of a master calendar for regulatory filings

Periodic Compliance Activities:

Forensic testing of trading / investments and execution
Regulatory filings monitoring
Personal email review
Personal trading and Intralinks / Syndtrack audits
Trade ticket audit
Best execution / broker allocation / pricing / valuation review
Monitoring trading and investment restrictions
Marketing approval log maintenance
Gifts and Entertainment log maintenance
Code of Ethics breaches log maintenance
World Check / AML new investor review / due diligence
Investor side letter tracking
Books and records retention and maintenance review
Continuing education programs log maintenance
Proxy voting audit
Business continuity plan testing
Review of privacy policy and procedures
Information security / identity theft prevention

Annual Review Services:

Annual FCPA audit
Annual AML audit
Annual compliance review

Copyright (c) Frenkel Sukhman LLP 2015
750 Third Avenue
9th Floor
New York, NY 10017
212-202-6285 fax
520 White Plains Road
Suite 500
Tarrytown, NY 10591
914-206-4084 fax
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