Service Offerings
- Operations & Infrastructure
- Regulatory & Compliance
- Accounting & Finance
- Technology
- Expert Witness (Testifying and Consulting)
- Due Diligence
- CFO, COO, CCO, CTO Services
- Mergers and Acquisitions
- Business Strategy
- Business Continuity Management
- Liquidation Services
- Fund Wind Down
- Internal Audit
- Forensic Services
Asset Management
Invesment Managers
- Mutual Funds
- Investment Advisors
- Hedge Funds
- Fund of Funds
- Private Equity and Venture Capital
- Wealth Management Firms
- Family Offices
- Global / Institutional Asset Managers
- Endowments & Foundations
Industry Providers
Regulatory & Compliance
From the initial registration of investment advisors to building and overseeing a full scale compliance program, Constellation’s professional team provides tailored compliance consulting services with an emphasis on designing innovative and practical solutions within required statutory or regulatory guidelines, all in a timely and cost effective manner.
We coordinate with our clients to evaluate and improve their control environment, conduct a thorough risk assessment, recommend and implement appropriate technology, and establish a robust and sustainable compliance program to comply with ever growing regulatory oversight.
A sample of our services include:
- CCO Assistance
- SEC / State Registration and Compliance
- Policies and Procedures Development
- Establishing Compliance Programs
- Compliance Tools and Practices
- Mock SEC Exams
- Surveillance and Monitoring
- Outsourced CCO
As the U.S. and E.U. tighten the laws and regulations for financial services firms, Constellation assists its clients in navigating the new realities facing today’s investment managers.
For more information about Constellation’s services call 212.300.6250 or e-mail .