BCCP and its “ A Team” of Senior Consultants, Subject Matter Experts & Instructors are here to help you with your risk management, compliance, governance, business continuity management and training needs.

Our Clientele
  • SEC and state registered investment advisers
  • Hedge funds (including Islamic-compliant hedge funds)
  • Investment companies
    • Mutual funds
    • Insurance companies with variable insurance products
  • Broker/dealers
  • Nonprofit organizations, including donor organizations (USAID, ADB and others)
  • Banking institutions
  • Institutional investors
  • Alternative investment and private equity firms
  • Exchange traded funds (ETFs)
  • Dark pools
  • Forex, commodities, and futures
  • Institutes of higher learning for financial professionals and senior executives
  • Government and Non-Government Organizations (NGOs)
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Our Core Areas of Expertise
  • Anti-money laundering and OFAC compliance
  • Bank Secrecy Act
  • USA PATRIOT Act
  • Offshore regulatory regimes
  • Cross-border global compliance
  • SEC laws and regulations:
    • Securities Act of 1933
    • Securities Exchange Act of 1934
    • Investment Company Act of 1940
    • Investment Advisers Act of 1940
    • SEC Regulation S-P
  • Blue Sky laws and regulations
  • State insurance laws and regulations
  • FINRA/NASD rules and regulations
  • NYSE legacy regulations
  • National Futures Association (NFA)
  • Commodities Futures Trading Commission (CFTC)
  • SEC and FINRA laws and regulations:
    • Rule 38a-1 under the Investment Company Act of 1940
    • Rule 206(4)-7 under the Investment Advisers Act of 1940
    • NASD Rules 3012/3013
  • Sarbanes-Oxley Act of 2002
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Our Consulting Services

BCCP/BCI Solutions

  • Compliance ConciergeSM – please contact us for details
  • Compliance on CallSM – please contact us for details
  • Outsourced CCO services
  • Bekker Compliance Institute (BCI)SM – please contact us for details
    • Education/training modules and webinars, customized to meet the client’s needs
    • Team of highly qualified instructors delivers customized, risk-based, principles-based courses onsite
    • Special emphasis on global AML compliance and how to audit
  • Global compliance solutions
  • Compliance consulting services in connection with risk-based policies and procedures for Islamic-compliance hedge funds
  • Customized policies, procedures and manuals:
    • Written supervisory procedures
    • Broker/dealer manuals
    • Investment adviser manuals
    • Hedge fund adviser manuals
    • Specialized policies and procedures for global firms needing “harmonization of laws” focus
  • SEC and FINRA mandated compliance consulting
  • Outsourced FINOP services
  • Branch audits
  • SEC Regulation D and state Blue Sky filings
  • Due diligence packages:
    • Mergers and acquisitions
    • Cross-border transactions
    • For institutional investors: hedge fund advisers
    • For hedge funds: prime brokers
    • Due diligence analytics
    • Risk metrics
  • “Focus” reviews:
    • “look back” reviews
    • Independent periodic reviews for firms needing a consultant as a result of an SEC or FINRA order requiring an independent review
    • Annual independent anti-money laundering reviews
    • Advertising compliance reviews
    • Best execution reviews
    • Mock audits
    • “Best practice” reviews
    • Risk-based independent testing
  • SEC Rule 38a-1, 206(4)-7 and FINRA Rule 3012/3013 annual reviews, assisting your team with many of the labor-intensive annual review functions – for example:
    • Gap analysis: Reviewing compliance procedures and corresponding operational procedures to determine whether there are any gaps or discrepancies, and to determine whether the operational procedures have sufficient internal controls as they relate to the internal controls in the compliance procedures;
    • Conducting forensic testing for transaction-based procedures, including documenting findings and providing recommendations; and
    • Assisting with service provider due diligence, including providing support during site visits and documenting the findings and recommendations;
E-Compliance SolutionsSM

In order to build and maintain your firm’s “culture of compliance,” it is critical that your compliance program includes a technology component. The SEC has made it clear, in many of its myriad speeches and press releases, that relying solely on manual processes to monitor and test procedures for effectiveness is not sufficient anymore. BCCP already has well-developed working relationships with many cutting-edge technology firms offering a diverse complement of e-compliance solutions. As a result, we are ready to assist you in the following areas:

  • Consult with you to identify your firm’s specific e-compliance needs.
  • Consult with BCCP’s third party e-compliance vendors to determine which solutions may be right for you.
  • Liaise with you and with the e-vendors to arrange demos, so that you have the opportunity to evaluate viable e-compliance solutions.
  • Consult with you and make recommendations based on your firm’s unique needs.

Available e-compliance solutions include the following:

  • Anti-money laundering compliance solutions
  • Enterprise content management
  • Surveillance tools to monitor transactional activity
  • E-mail monitoring and retention
  • Exception reporting
  • Middleware to connect mainframe legacy systems to web-based applications
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