These are challenging times. The economy is distressed and investors have lost a large part of their investment savings. There have been many frauds, especially Ponzi schemes, which have caused catastrophic harm to investors. In this environment, institutional investors and financial services firms (including advisers, broker-dealers, intermediaries, and others) need to strengthen their compliance controls to ensure that compliance policies and procedures prevent violations from occurring, and detect and promptly correct violations that have occurred.
Day Pitney's Compliance Risk Services group assists organizations in designing and implementing comprehensive compliance programs. Our compliance group provides essential compliance services, including compliance risk assessments and audits, investigations, and compliance control improvements to mitigate compliance risks. Effective compliance programs enable companies to self-police their conduct by identifying, assessing, and correcting compliance problems before they cause harm to investors or are discovered by regulators. The following are examples of the types of compliance services we offer.