Nancy is a founding Member at True West. She brings over 20 years of experience in the financial industry with a concentrated focus in regulatory compliance consulting for registered investment advisory firms. She has a passion for working with clients in developing their compliance programs and assists firms with building a true culture of compliance. Nancy strives to keep a simple and straightforward approach to running an efficient compliance program.
Services
Private Fund Compliance
We LOVE compliance. True West believes in a compliance program based on education, engagement and follow through. Oh, and we have fun while doing it.
Navigate Compliance with Confidence
We offer private fund compliance programs, including registrations (both full registration or exempt reporting adviser), compliance manual (policies & procedures), compliance calendars, regulatory filings services including Form PF and Rule 13F filings, marketing rule compliance, regulatory exam management and annual reviews. Our goal is to be your one stop shop for your compliance needs and peace of mind.
Our Compliance Services Include:
Regulatory Filings and Documentation
Stay ahead of the compliance curve with our expert handling of all necessary filings, from Form ADV updates to annual amendments and more.
Registration & Compliance Program Development
We develop and implement robust compliance programs designed to meet both SEC requirements and your firm's unique needs. This includes initial registration filing and approval with the SEC and creating customized policies and procedures that align with your business model.
Risk Assessment and Management
Identify and mitigate risks before they become issues with our comprehensive risk assessment services. We help pinpoint vulnerabilities and provide strategic solutions to strengthen your compliance posture.
Training, Education & Ongoing Support
Empower your team with knowledge on compliance through our training programs, while offering ongoing support and consultation to adapt to continuous changes and address any compliance concerns.
Customized Solutions
for Every Private Fund
Each private fund has unique needs, which is why our services are highly customizable. Whether you're a startup needing foundational compliance setup or an established firm looking to enhance your existing compliance framework, we tailor our services to meet your specific requirements.
Jim Smith
Jim brings over 35 years of experience in the financial services industry, with both investment adviser and broker dealer (FINRA) experience. He has worked on various products, including separately managed accounts, private funds, exchange-traded funds (‘ETFs’), as well as mutual funds. He has had the opportunity to work at both large and small firms and has been an investment adviser and broker-dealer CCO. Mr. Smith also has extensive experience working with regulators including successfully managing numerous SEC examinations.
Stay Compliant, Stay Ahead
Navigating the regulatory landscape doesn't have to be daunting. With True West’s compliance services, you can ensure your firm not only meets but exceeds regulatory expectations. Let us handle the complexities of compliance, so you can focus on growing your business and serving your clients.
