Company Performance Metrics
Canopy Compliance provides compliance consulting and support services to SEC-registered investment advisers and funds. The company focuses on long-term engagements that function as an extension of an adviser’s in-house compliance team. Its services include CCO decision-making support, regulatory and leadership training, and general compliance
program support such as annual reviews, compliance calendars, and policy development. Canopy Compliance assists with SEC exam preparation and responses, service provider due diligence, and investment guideline testing. It also helps develop and oversee MNPI controls, supports product development from a regulatory perspective, and offers board support services. Additional offerings include CCO oversight, recruitment, hiring support, and development planning for new compliance staff.
