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COMPLIANCE

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Beyond Rules: Building a Culture of Compliance

We offer extensive compliance and regulatory services including serving as a Chief Compliance Officer and staffing of Compliance personnel, registration, risk assessments, conflicts of interest reviews and monitoring, policies and procedures development including Code of Ethics, implementation, and ongoing oversight of compliance programs, including reviews, testing, filings and employees training. Our goal is to help advisers and fund managers mitigate risks, maintain integrity, and uphold ethical standards in their advisory operations.

Connect with one of our Specialists

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