From the Investment Advisers Act to ESG disclosure rules, asset managers face an increasingly complex regulatory environment. Panache Global helps firms maintain compliance while protecting investor interests.
Asset managers face SEC examinations, evolving ESG requirements, cybersecurity mandates, and increasing expectations around fee transparency and investor protection.
Form ADV, compliance program rule, custody rule, and marketing rule requirements demand robust frameworks and ongoing oversight.
SEC climate disclosure proposals, SFDR, and increasing scrutiny of ESG-labeled funds require data integrity, governance, and transparent reporting.
Liquidity risk management, stress testing, counterparty exposure, and concentration limits require sophisticated analytics and proactive oversight.
Regulatory focus on fee disclosures, expense allocation, and performance advertising demands meticulous recordkeeping and compliance controls.
SEC cybersecurity risk management rules, Regulation S-P amendments, and state privacy laws create a complex data protection landscape.
Third-party service provider oversight, vendor risk management, and business continuity planning are essential for institutional credibility.
Design, implementation, and ongoing management of Investment Advisers Act compliance programs, including policies, procedures, testing, and annual reviews — tailored to your firm's size and complexity.
Comprehensive portfolio reviews identifying concentration risks, liquidity gaps, and regulatory exposure. We help investment firms understand the risks inherent in their holdings and positions.
Mock examinations, document preparation, and response support for SEC, state, and self-regulatory organization examinations — helping you approach exam day with confidence.
Rapid deployment teams to clear operational backlogs in client onboarding, KYC/AML remediation, trade reconciliation, and regulatory reporting — delivering results in weeks.
Schedule a confidential consultation with our asset management specialists to discuss your firm's specific compliance and operational challenges.