Our Clients

 

At SCS, we work with a wide range of firms within the alternative investment community, including:

  • Commodity Trading Advisors
  • Registered Investment Advisors
  • Hedge Funds
  • Introducing Brokers
  • Compliance Consultants
  • Broker Dealers
  • Commodity Pool Operators
  • Funds-of-Funds
  • Exchanges
  • Pension Fund Consultants
  • Family Offices
 

Our clients range in size from start-ups to firms with billions under management.

Compliance Services for Small Firms

For small firms, SCS offers access to a high-end Compliance Officer at an economical price. We will tailor-make required documents and institute processes necessary to become compliant. Although SCS will not take on the responsibility of being the designated Compliance Officer for our clients, we will perform almost all functions required up to that point, or train their personnel to do so. After getting up-to-speed, clients may then make a strategic decision on whether to outsource part of their compliance functions, or keep them all in-house, based upon what is best suited to the long-term goals of the firm.

Compliance Services for Mid- to Large-Sized Firms

For mid- to large-sized firms, SCS provides support for Compliance Officers in a wide array of areas. We help to develop and implement new policies and procedures so that firm personnel can stay on track with their existing responsibilities. In addition, SCS can serve as an outside auditor, troubleshooting areas of concern or reviewing existing processes. We can also assist investing entities in their due diligence process by evaluating the regulatory/operational health of a firm being considered for investment. View a list of our compliance services.