• Risk assessments
  • Annual reviews and reports
  • Mock audits and preparedness assessments
  • Electronic communications testing and review
  • Website, marketing and advertising review
  • Books and records guidance
  • Ongoing employee and proprietary trading reviews
  • Business continuity and disaster recovery planning and testing
  • Registration: investment adviser, commodity pool operator and/or commodity trading adviser
  • SEC and NFA exam preparation and guidance
  • Compliance policy and procedure development
  • Anti-money laundering program audits and training
  • Due diligence services
  • Training and education
  • Regulatory filing assistance
  • On-going advice and CCO support

Compliance and Regulatory Management Services

Willow Tree provides independent, practical, efficient and cost-effective solutions tailored to meet each client's specific needs and objectives.  Willow Tree offers a range of services to Investment Advisers, Hedge Funds, Private Equity Funds and Asset Managers, including: