Cost: $2500.00

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Barrington Partners undertook development of the Compliance Best Practices Review in response to client requests for information regarding what their peers are doing to meet the requirements of the new regulatory environment.

The Review includes Fund Company and Investment Advisor CCO interviews, on an unattributed basis, discussing how each firm is addressing:

• The CCO role
• Compliance operations, policies and procedures
• Due diligence of service providers and sub-advisors
• Board reporting
• Technology to assist with compliance

The Review also includes:

• Brief overview of relevant licensable technology solutions
• Summary of interview findings
• Common questions and issues of interest
• Interviews with non-U.S. based firms to provide insight on how these issues will impact firms operating outside the U.S.

Research Process: The research for this Review was conducted as follows:

• Through our consulting, research and industry contacts, we developed a thorough understanding of the new regulatory requirements.
• A Review outline and an interview guide were provided to the CCOs of participating fund companies and investment managers.
• Interviews were conducted with Chief Compliance Officers from a broad range of organizations.
• Summary level information was gathered regarding the vendor solutions identified during the interview process.
• Documented interviews were then validated by CCO participants for inclusion in the Review.

CCO Interviews: Barrington Partners agreed with the participating firms that the name of their firm would not be specifically linked to their answers in this Review. Therefore, there is no correlation between the ordering of the material presented and names of the organizations interviewed.