We make compliance affordable,
because non-compliance isn't
The Compliance Support Program is exclusive to Ara and was developed to address the unique needs of independent Portfolio Managers, Investment Fund Managers and Exempt Market Dealers.
The Ara team of professionals serves as a virtual head office compliance department in support of the firm's Designated Chief Compliance Officer. We provide an organized and rational process for managing compliance, so that management can focus on running its business.
Our Compliance Support Program includes:
- The review, analysis and periodic update of your firm's compliance policies and procedures
- Regular on site reviews
- Regular staff training on compliance and anti-money-laundering regulation
- All individual and corporate registration matters
- An ongoing help desk through which we will analyze and resolve compliance queries such as, advice on referral arrangement, reviews of marketing materials, etc.
- Liaise with regulatory authorities on your firm's behalf
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Vipool DesaiPresident
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Vipool is President of
Ara Compliance Support,
which he co-founded
in 2006.