Welcome to Fiduciary Compliance Associates

In the current environment, your clients want greater assurance of the safety of your business and of their assets and that you meet federal, state and self-regulatory standards. We can provide you and your clients with the security that you meet these standards.

Fiduciary Compliance Associates LLC (FCA) was founded by Charles Lerner, a former SEC enforcement attorney and Director of ERISA enforcement at the US Department of Labor. Since leaving the government,
he has built successful and practical compliance programs for investment advisers, private investments funds and broker-dealers.


FCA can help you:

  • • Understand your needs
  • • Assess your current program
  • • Develop a comprehensive compliance program or targeted compliance solutions
  • • Ensure that the compliance process advances, and does not hinder your business
OUR SERVICES
    Investment Advisers
  • • Review Form ADV Part I and II required of    registered investment advisers
  • • Prepare/review compliance policies and   procedures and Code of Ethics

    Private Investment Funds
  • • Review offering memorandum from a   compliance perspective
  • • Review the subscription and AML   process

    Broker-Dealers
  • • Prepare/review Written Supervisory Procedures and other   compliance policies and procedures
  • • Review existing monitoring processes for adherence to   policies and procedures

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