Compliance for Institutional Asset Managers
Sophisticated compliance programs for larger firms and institutional managers.
Institutional managers require mature compliance programs with formal governance, documentation, testing, and supervisory oversight. NextReg supports hedge funds, institutional RIAs, multi-office firms, and adviser groups that need high-quality compliance operations with scalable structure, exam readiness, and institutional-grade controls.
Managed Compliance Programs
Comprehensive compliance management for complex organizations.
Regulatory Exam Preparation
Rigorous mock exams and readiness assessments for SEC and state examinations.
Policies & Supervisory Procedures
Institutional-grade compliance manuals, policies, and supervisory procedures.
Risk Assessment & Testing
Annual risk assessments, compliance testing programs, and control evaluations.
Marketing & Advertising Review
Marketing Rule compliance, performance advertising, and disclosure reviews.
Vendor Oversight & Due Diligence
Vendor risk management, due diligence frameworks, and ongoing oversight programs.
Who We Support
Institutional RIAs
Multi-office advisory groups
Hedge fund and fund-of-funds advisers
Venture capital advisers
Private wealth divisions
Complex advisory organizations
Why Institutional Firms Choose NextReg
Institutional-grade frameworks and documentation
Experience with complex structures and oversight
Scalable systems for multi-office firms
Mature governance and testing programs
High-touch, fast-turnaround support