WHO WE SERVE
Regulatory compliance support for registered investment firms.
CRR Partners works with registered investment firms that require practical regulatory and compliance support—whether responding to deficiencies identified through a regulatory examination, preparing for regulatory scrutiny, or strengthening their ongoing compliance framework. Our experience spans the operational and compliance requirements of Portfolio Managers, Investment Fund Managers and Exempt Market Dealers.
We understand registered firms from the inside—because our experience includes the practical realities of managing and operating a registered investment firm.
PORTFOLIO MANAGERS
Practical compliance support for the regulatory responsibilities of Portfolio Managers.
Portfolio Managers operate within a demanding regulatory framework that extends across portfolio management activities, client relationships, compliance systems, governance, recordkeeping and regulatory reporting. CRR Partners helps Portfolio Managers assess and remediate regulatory deficiencies, strengthen policies and controls, improve supporting documentation, and maintain compliance practices that operate effectively in the day-to-day management of the firm.
01 COMPLIANCE PROGRAMS
Support the development, review and strengthening of compliance programs, policies and procedures designed to address the regulatory obligations and operational realities of Portfolio Managers.
02 CLIENT & PORTFOLIO OVERSIGHT
Support compliance practices relating to client relationships, portfolio management activities, supervisory responsibilities and the documentation required to demonstrate appropriate oversight.
03 POLICIES, CONTROLS & DOCUMENTATION
Review and strengthen policies, internal controls, records and supporting documentation so that regulatory requirements are reflected consistently in the firm’s actual operations.
04 REGULATORY FILINGS & REPORTING
Support regulatory filings, reporting processes and related records to help ensure that required information is accurate, complete, timely and supported by appropriate documentation.
05 REGULATORY EXAMINATIONS & REMEDIATION
Support Portfolio Managers before, during and after regulatory examinations, including assessing findings, developing corrective measures and documenting effective remediation.
06 ONGOING REGULATORY READINESS
Help maintain effective compliance practices through ongoing review, monitoring, corrective action and documented oversight so that the firm remains prepared for regulatory scrutiny.
CRR Partners combines regulatory compliance expertise with practical experience in the operation of a registered investment firm—helping Portfolio Managers translate regulatory requirements into workable day-to-day practices.
INVESTMENT FUND MANAGERS
Compliance support for the complex responsibilities of Investment Fund Managers.
Investment Fund Managers face regulatory responsibilities that extend across fund operations, governance, compliance oversight, regulatory reporting and the administration of investment funds. CRR Partners helps IFMs assess regulatory deficiencies, strengthen compliance processes and controls, improve supporting documentation, and maintain governance and oversight practices that can be demonstrated effectively to regulators.
01 FUND GOVERNANCE & OVERSIGHT
Support governance and oversight practices relating to investment fund operations, including documented responsibilities, compliance supervision and evidence of effective management oversight.
02 POLICIES, PROCEDURES & CONTROLS
Review and strengthen policies, procedures and internal controls supporting fund management activities so that regulatory requirements are consistently reflected in the firm’s operations.
03 REGULATORY FILINGS & REPORTING
Support regulatory filings, reporting obligations and related documentation to help ensure that required information is complete, timely and supported by appropriate records.
04 FUND COMPLIANCE MONITORING
Support ongoing monitoring of fund-related compliance practices and controls to identify potential weaknesses, address emerging issues and maintain effective regulatory oversight.
05 REGULATORY EXAMINATIONS & REMEDIATION
Support Investment Fund Managers before, during and after regulatory examinations, including assessing findings, implementing corrective measures and documenting effective remediation.
06 ONGOING REGULATORY READINESS
Help maintain effective fund compliance practices through ongoing review, monitoring, corrective action and documented oversight so that the firm remains prepared for regulatory scrutiny.
CRR Partners helps Investment Fund Managers connect regulatory requirements with the practical realities of fund operations—strengthening governance, controls, documentation and ongoing regulatory readiness.
EXEMPT MARKET DEALERS
Practical compliance support for the regulatory responsibilities of Exempt Market Dealers.
Exempt Market Dealers operate within a regulatory environment that requires careful attention to client onboarding, know-your-client obligations, suitability, exempt distributions, documentation, compliance oversight and regulatory reporting. CRR Partners helps EMDs assess regulatory deficiencies, strengthen compliance practices and controls, improve supporting documentation, and maintain a framework capable of demonstrating effective compliance to regulators.
01 KYC & CLIENT ONBOARDING
Review and strengthen know-your-client and client onboarding practices, supporting documentation and controls to help ensure regulatory requirements are consistently applied and evidenced.
02 SUITABILITY & CLIENT ASSESSMENT
Support the review and strengthening of suitability and client assessment practices, controls and documentation to help ensure that regulatory obligations are consistently addressed and demonstrable.
03 EXEMPT DISTRIBUTIONS & DOCUMENTATION
Support compliance practices and documentation relating to exempt market distributions, helping ensure that applicable requirements, records and supporting evidence are appropriately maintained.
04 POLICIES, CONTROLS & RECORDKEEPING
Review and strengthen policies, internal controls, recordkeeping practices and supporting documentation so that regulatory requirements are consistently reflected in the firm’s day-to-day operations.
05 REGULATORY EXAMINATIONS & REMEDIATION
Support Exempt Market Dealers before, during and after regulatory examinations, including assessing findings, developing corrective measures and documenting effective remediation.
06 ONGOING REGULATORY READINESS
Help maintain effective EMD compliance practices through ongoing review, monitoring, corrective action and documented oversight so that the firm remains prepared for regulatory scrutiny.
CRR Partners helps Exempt Market Dealers strengthen the policies, controls and documentation that support compliant exempt-market activity—while maintaining practical processes that work in day-to-day operations.
TALK TO CRR PARTNERS
Whether your firm is a Portfolio Manager, Investment Fund Manager, Exempt Market Dealer—or holds multiple registrations—CRR Partners can help.
CRR Partners works with Portfolio Managers, Investment Fund Managers and Exempt Market Dealers across the compliance cycle—from addressing regulatory findings and implementing corrective measures to identifying potential weaknesses and maintaining effective ongoing compliance practices.
If your firm requires practical support with regulatory remediation, examination readiness or ongoing compliance, we welcome the opportunity to discuss how CRR Partners can assist.