PE Tech Report


Like this article?

Sign up to our free newsletter

EisnerAmper launches compliance consultancy for investment advisers

EisnerAmper has launched EisnerAmper Compliance and Regulatory Services (CARS), a full-service consultancy providing outsourced compliance programmes and solutions to US and offshore investment advisers.

CARS supports clients managing all asset classes including alternative (hedge funds, private equity funds, funds of funds and CPOs) and non-alternative investment vehicles, wealth managers, managed account platforms, mutual funds, broker-dealers and family offices.
CARS is led by Gary Swiman, Ppincipal, and Carmine Angone, director. They have more than 25 years of experience in evaluating, implementing and leading compliance, audit, and anti-money laundering departments for some of the world’s largest asset management and broker- dealer firms, with a product mix consisting of hedge funds, private equity funds, mutual funds, broker-dealers and separately managed accounts.
The CARS team develops highly tailored solutions to fit specific client needs. Among the solutions offered are assessing enterprise regulatory risk, and developing and implementing compliance programs to manage risk within client acceptable levels. They advise on the implementation and on-going support of Dodd-Frank initiatives and provide clients with strategies to comply with the changing regulatory environment.
“Compliance is not a one-size-fits-all approach, and our clients see an enormous amount of value in a programme specifically tailored to their complex regulatory issues,” Swiman says. “Being a part of EisnerAmper allows us to more efficiently serve clients and tap the expertise of our experienced audit and tax professionals.”
Angone says: “Asset managers and broker-dealers are increasingly global in scope, expanding their business to avoid the market saturation that we are seeing in the US However, this brings with it a number of compliance complexities. Our team excels at working through these issues and ensuring that our clients’ localized products comply with appropriate jurisdictional regulations.”

Like this article? Sign up to our free newsletter