Regulatory Compliance – Fund Managers

BankersComply identified a deficiency in Fund Manager’s due diligence of lenders when evaluating for regulatory compliance.  Other than determining that compliance programs and policies exist, there wasn’t a resource available to evaluate regulatory polies, procedures, and training.

BankersComply offers fund managers a service of evaluating policies, procedures, and training in detail.  In addition to providing a written evaluation of findings, BankersComply delivers a Regulatory Compliance Risk Scorecard that rates the level of regulatory compliance risk by category a fund manager can use to quantify the level an investment or potential investment risk. Bankers Comply will perform ongoing compliance audits of the lenders on behalf of the investor to ensure lending programs operate in a compliant manner.

Fund Managers have a fiduciary responsibility to ensure that all companies in which it has made investments have performed comprehensive consumer regulatory compliance due diligence.

BankersComply provides initial regulatory compliance reviews and ongoing audits to insure compliance is maintained as long as the fund is invested in the space.