We make entering the largest and most liquid capital market seamless.
Black Swan Diagnostics helps you with your regulatory compliance programs and liaison with regulators in the US to ensure your firm is in compliance.
We have expert and seasoned resources across most states.
We help you understand your obligations, create a plan of action to implement, and provide support to help satisfy regulatory expectations in the US. We provide you with:
- A dedicated compliance contact
- A compliance calendar to monitor and remind you of upcoming compliance deadlines
- A customized compliance plan to monitor compliance with internal policies and rules and regulations
- Regular compliance visits
- Regular compliance reports for senior management
- Updated compliance Policies and Procedures Manuals (PPM)
- Regulatory filings and notifications
- Compliance advice and assistance
- Assistance with regulatory capital calculations
- Compliance training for your firm
- Reviews of marketing materials to ensure compliance
- Leverage our relationships with experienced placement/marketing agents to help sell, distribute and market your funds.
Our support programs are reasonably priced, flexible, do not involve upfront payments and are not connected to other services.
With resources on-the-ground in various provinces and established relationships with regulators, we simplify the entire licensing process.
Black Swan Diagnostics helps you with your regulatory compliance programs and liaison with regulators in Canada to ensure your firm is in compliance.
We have expert and seasoned resources spanning all 13 provinces in Canada.
We help you understand your obligations, create a plan of action to implement, and provide support to help satisfy regulatory expectations in Canada. We provide you with:
- A dedicated compliance contact
- A compliance calendar to monitor and remind you of upcoming compliance deadlines
- A customized compliance plan to monitor compliance with internal policies and rules and regulations
- Regular compliance visits
- Regular compliance reports for senior management
- Updated compliance Policies and Procedures Manuals (PPM)
- Regulatory filings and notifications
- Compliance advice and assistance
- Assistance with regulatory capital calculations
- Compliance training for your firm
- Reviews of marketing materials to ensure compliance
- Leverage our relationships with experienced placement/marketing agents to help sell, distribute and market your funds.
Our support programs are reasonably priced, flexible, do not involve upfront payments and are not connected to other services.