LEGAL & Compliance
Nathalie Scott advises financial services providers on a variety of US-related matters, including SEC and IRS laws and regulations, FATCA, GDPR compliance (vis-à-vis US authorities), inspection and examination of RIAs, AML/SARs reports, and broadly on litigation and investigations initiated by US federal authorities (DOJ/IRS/SEC). She also regularly provides in-house à la carte compliance trainings.
Understand and comply with U.S. securities laws and the SEC’s rules and regulations
CompliGlobe is the only regulatory adviser based in multiple locations in and outside the United States that is dedicated to SEC compliance and managed by a former SEC lawyer, Mark Berman. We are independent and staffed by dedicated, experienced professionals.
Susi Marone has handed over the management of Aviolo to Martin Straub
Aviolo Compliance Solutions offers comprehensive compliance support for SEC registered investment advisers. We also assist investment advisers having to register with the SEC and our service level agreements provide regular, on-site compliance supervision to aid Chief Compliance Officers.