Let's advance your compliance program!
REGULATORY COMPLIANCE CONSULTING
Let's advance your compliance program!
REGULATORY COMPLIANCE CONSULTING
Let's advance your compliance program!
About US
Our Expertise
We provide Canada’s capital markets and investment industry compliance consulting and advisory services.
We started this business to help advance the compliance programs of resource constrained portfolio managers, investment fund managers and exempt market dealers, and we believe our regulatory compliance expertise will efficiently guide and focus your compliance efforts, so you can keep moving your business forward.
We know industry rules and regulatory guidance are always changing and its hard to keep up!
Our compliance services will guide you to another first down.
Our Founder
Daniela Nalli is a career compliance professional with over 25 years’ experience in Canadian and US securities regulatory compliance, and previously served as CCO at 2 large asset managers.
Daniela’s experience includes compliance consulting for registrants of all sizes, as well across newly and well established business models and lifecycles. Daniela is an experienced independent compliance consultant/monitor for firms under registration terms and conditions, successfully guiding registrants to compliant practices and removal of the conditions.
Daniela’s compliance and regulatory expertise allows her to assist clients in developing and enhancing their compliance programs which she really enjoys. Daniela holds an Honours Bachelor of Arts degree from the University of Toronto.
SERVICES
Compliance Advisory
Independent Consultant/Monitor
Compliance Advisory
Trusted advice by former CCO. I will evaluate your business strategy with a regulatory compliance focus.
We also engage special projects to close your regulatory gaps.
Expert Witness
Independent Consultant/Monitor
Compliance Advisory
My vast experience working with PM/IFM/EMD registrants enables assisting on a variety of matters as independent expert for firms, individual registrants and legal counsel.
Independent Consultant/Monitor
Independent Consultant/Monitor
Independent Consultant/Monitor
Firms under registration terms and conditions can count on my proven experience successfully guiding registrants to compliant practices and removal of the conditions.
Regulatory Exams
Policies and Procedures
Independent Consultant/Monitor
Let us navigate your next compliance exam and help you gather responses.
Reach out when you get the call!
We can also assess your readiness for an exam well in advance.
I DO COMPLIANCE
Policies and Procedures
Policies and Procedures
Free up your time and outsource compliance tasks such as marketing reviews, personal trades monitoring, governance committee management, and others.
Policies and Procedures
Policies and Procedures
Policies and Procedures
We start by reviewing your compliance manual and focus on your business model and registration categories. You can count on recommendations to fit your needs and goals.
Registrations
Registrations
Registrations
New firm registration, individual registration, exemptions applications and ongoing registrant filings.
Shared CCO
Registrations
Registrations
Let's explore if shared CCO or part-time CCO model could work for your firm.
Training
Registrations
Training
We are passionate about compliance training, whether its focused hot topics or annual refresher. Invite us to share training and insights with your team.