What Can Canopy Do For You?

The typical Canopy consulting engagement is long-term and broad, allowing for a trusted and reliable partner without the headaches that come with having a part-time employee. Providing financial flexibility and a seasoned executive who still likes to get his hands in the day to day, Canopy can add value in many ways. Whether you are a CCO of a large adviser that deals with constant employee turnover or a dual-hatted CCO of a smaller adviser that is asked to do it all, below is just a sampling of the ways Canopy may benefit your company. Please reach out today to learn more about Steve's experience in these and other areas.

• Provide executive-level decision-making support to adviser and fund CCOs
• Assist in preparing CCO reporting for fund boards and company management
• Keep the CCO abreast of regulatory developments and impactful rules and regulations
• Provide customized regulatory and leadership training for CCOs and their teams

• Conduct annual reviews required by Rules 38a-1 and 206(4)-7
• Prepare and maintain a compliance calendar
• Targeted policy review and development
• Help prepare and file Form ADV
• Conduct ongoing risk assessments and conflicts reviews
• Develop and monitor the adviser's code of ethics
• Handle ongoing testing, monitoring, and other routine tasks

• Conduct a gap analysis and SEC exam preparedness review
• Assist with all aspects of an SEC exam response
• Serve as independent compliance consultant following an SEC exam

• Conduct in-depth due diligence reviews of investment managers, sub-advisers, private funds, transfer agents, custodians, administrators, distributors, and research providers
• Provide assessment memos and reporting to the CCO, fund board, clients, and company management

• Review prospectuses, SAIs, and investment management agreements to identify and interpret investment guideline limitations 
• Assist with coding and monitoring investment guidelines, both pre- and post-trade
• Develop and conduct periodic and forensic testing

• Develop and oversee expert network policies and controls
• Conduct a full review of all MNPI related policies and internal controls, including those related to wall crossings, private deal site access, alternative data, and company meetings
• Assist with assessing and managing the receipt of potential MNPI 
• Develop and conduct back-end trade surveillance
• Assess controls in place at research providers

• Identify and manage regulatory and operational challenges facing new products
• Provide project management leadership and support
• Assist with policy and procedure changes required by new products
• Aid in the drafting of required regulatory filings

• Assist with 15(c) reviews
• Conduct board and committee assessments
• Provide external board secretary support services
• Review and improve board and committee meeting materials
• CCO oversight, recruitment, and hiring support
• Serve as an independent director of a fund board

• Identify job requirements and draft job descriptions
• Recruit, interview, and assess potential candidates
• Establish and implement a development and training plan for new employees