In August 2017, Compliance Risk Concepts and Phocion Investment Services formalized a strategic partnership to greatly benefit each other’s clients.
Specifically, Phocion’s clients enjoy the value proposition of a highly-experienced team of United States compliance professionals that are well-versed in all aspects of the U.S. investment management compliance regime. CRC’s financial compliance services include:
- Strategy and management – CCO overall compliance strategy and required execution
- General compliance support – policy and procedure development and implementation
- Capital markets and investment banking – complex regulations, policies and procedures, surveillance, and conflicts of interest)
- Investment advisory services – adopt regulatory SEC and state requirements
- Anti-corruption and ethics – solutions to ameliorate these risks
- Broker-dealer financial & operational principal services – flexible solution that be outsourced or internalized
For CRC’s clients, Phocion provides them with open doors to the broadest suite of performance measurement and due diligence services that were previously unavailable under CRC’s umbrella. Also under Phocion, CRC is best positioned to offer compliance services that meet clients’ Canadian cross-border requirements.
Phocion and CRC came together through the shared belief to only provide clients with services given by professionals that have ten or more years of related experience. We are unmatched in consistently going beyond our client’s expectations through thorough work and by imparting knowledge. We are a value-added partner as our services drive client operational efficiencies and lead to cost savings.
In short, our clients consistently demand a high-end service experience that only Phocion and CRC are positioned in the marketplace to deliver on. We will never waver in delivering a best-of-breed service experience to our clients.