We recognize the increasing regulatory scrutiny our Private Equity clients are facing and we want to be a good partner; we want to ensure we were doing all we can to help facilitate our client’s compliance with the SEC.
Although the SEC does not required our firm to have these Ps & Ps from a regulatory perspective, Apex Leaders deemed it was in our client’s best interest to ensure we are aligned with the expectations they are held to.
In addition to our compliance framework, Apex Leaders ensures 100% client confidentiality during engagements with our advisors. In every instance, we thoroughly vet and register advisors before presenting them to our clients. This ensures advisors bear no conflicts of interest.
For full details, see Apex Leaders’
We retained the services of Duff and Phelps to develop a compliance manual, which provides a comprehensive set of internal policies and procedures related to conflicts of interest, confidentiality, documentation, and cybersecurity.