Best for 40 Act Compliance Services & Consulting
Barge Consulting: SCA Compliance
Barge Consulting-SCA Compliance Group (Barge-SCA Compliance) is a national, boutique compliance consultancy specializing in regulatory-compliance risk management, operational and compliance risk due diligence and monitoring, and related best practices for asset management firms and affiliated investment funds, funds-of-funds and multi-manager platforms, 40-Act funds, HNW-wealth firms, family offices, and institutional consultants and institutional/pension funds. Marvin Barge (MBA), a former SEC-Atlanta Southeast Region Office senior examiner-accountant, founded Barge Consulting in 2000 in Atlanta, Georgia, and since that time, our Group has expanded to Chicago-Midwest and New York-Northeast through its Barge-SCA Compliance joint-venture. Our Group’s clientele is based in all key regions of the U.S., including the Southeast, Midwest, Northeast, and Southwest-Western regions of the U.S.
Our Firm’s braintrust of highly-experienced consultants and advisors possesses over 70 years of combined experience as compliance, operations/business, legal, and investment management industry professionals and has significant expertise in regulatory/compliance as former CCO’s and SEC regulators, in-house legal and compliance affairs as CCOs, chief legal-regulatory officers, and chief/senior counsels, marketing and performance calculation and reporting, sub-manager due diligence/monitoring and investment operations. Our substantial institutional consulting knowledge and high-level expertise is coupled with an in-depth industry understanding of the business of asset management, fund management, and the various investment firm business models that operate in this sector.
Barge-SCA Compliance specializes in working with firms and fund management groups in designing and implementing robust and highly-customized risk and compliance management programs that leverage "best practices" as appropriate to a client firm’s business model and organization. We also perform mock SEC examinations and proactively assist our client firms and funds in maintaining their ongoing SEC compliance management program and examination readiness. We also advise and assist in implementing and proactively managing compliance programs, including periodic compliance reviews, ongoing CCO/compliance support, and comprehensive annual compliance reviews and independent institutional-level compliance reviews.