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
• Prepare your firm to be ready for an SEC examination

Our Services

› Investment Advisers
  • Review Form ADV Part 1 and 2 required of registered investment advisers
  • Prepare/review compliance policies and procedures and Code of Ethics
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› Private Investment Funds
  • Review offering memorandum from a compliance perspective
  • Review the subscription and AML process
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› 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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