Corporate Compliance

Tirep Finances has strategic thinking, compliance-focused on consulting for white-label entities.

With deep experience as an outsourced Advisor or broker-dealer consultants, Tirep Finances creates a path to a solution, that matches your firm’s needs.

Know the main characteristics of corporate ethics and compliance programs that lead to better financial performance and the ability to meet the new criteria of the United States Department of JusticeJustice andand Dominican regulations .

Well! Tirep Finances clients trust in Tirep compliance advice, but what we deliver to help you to comply all standars regulations and interational rules, see below:


Our comprehensive research reports, will help you to find out the latest perspectives on ethics and compliance (E & C) and track trends over time.


A corporate Code of Ethics may be regarded as the main instrument to institutionalise ethics within organisations. The Code of Ethics states the rights, duties and responsibilities of the company towards all its stakeholders. It contains behaviour principles and rules of conduct enriching the decision-making processes and orientating corporate activity. 

The Code of Ethics expresses the "ideal social contract" between the company and its stakeholders, which puts into practice, through principles and rules of conduct, the ethical criteria for balancing stakeholders' expectations and interests. 

For this reason the Code of Ethics is both a governance tool for the organisation's relations with its stakeholders and a strategic management tool as it provides guidance for decision-making. Moreover, the corporate Code of Ethics provides to external stakeholders a reference parameter on which they can reasonably form their opinions concerning the company's reliability and reputation (Sacconi, de Colle & Baldin: The Q-RES Guidelines for Management, 2002). 


Establishing effective policies and procedures does not begin and end with regulations. It takes the right amount of collaboration, the right types of distributive mediums, and the right methods to measure understanding. All of these things take an enormous amount of time and energy, but automating them with a software solution can increase efficiency, and ensure compliance with your policies and procedures. 

In fact, manage ineffective controls could've dangerous for your company. That's a main reason to implementing compliance control's and policy, It is essential that effective internal controls exist throughout departments and shareholders in terms to protect the company and bring clear image of your company or institutions. Internal control procedures will help you to:

  • Safeguard assets
  • Prevent and detect errors and fraud
  • Protect the interests of the staff and shareholders
  • Help to ensure the accuracy of accounting records
  • Internal controls can be a mix of financial procedures and actions of the staff who are involved with the finances in their workplace.

Examples include:

  • Authorisation of purchase orders
  • Safe custody of petty cash
  • A register of departmental assets
  • Validation of an accounting code 
  • Monitoring of research grant expenditure in accordance with the terms of grant
  • Secondary approval of a purchase invoice
  • Compliance with Financial Regulations


Compliance Advisory

Conduct Mock Regulatory Examination

Conduct Mock Regulatory Examination


Tirep Finances offers dedicated compliance consultants and Chief Compliance Officers for SEC-registered investment advisors and SEC-exempt reporting advisors. 

Our team of professionals include former in-house Chief Compliance Officers and attorneys. With a range of services, Tirep Finances can meet our client’s specific needs as either an outsourced CCO or by providing customized support to an in-house CCO.

* Assist with Legal Registration
* Compliance Consulting Support
* Gap Analysis
* Create and Maintain a Compliance Program and Calendar Tailored to the Firm’s Size, Culture and Business
* Annual Testing/Reviews including Compliance Meetings and Mock Regulatory Exams
* Training for Representatives
* Marketing and Advertising Material Review Using our partners Proprietary Software, AdCompliance™
* SEC Mock Audits
* Examination Support
* Provide an Interim Advisor CCO during a transition periodTirep Finances has strategic thinking, compl

With deep experience as an outsourced Advisor or broker-dealer consultants, Tirep Finances creates a path to a solution, that matches your firm’s needs.

Conduct Mock Regulatory Examination

Conduct Mock Regulatory Examination

Conduct Mock Regulatory Examination


Tirep Finances specializes in preparing and conducting mock SEC examinations to help prepare registered investment advisors for an SEC exam. 

Our seasoned professionals can identify operational, procedural and regulatory weaknesses and propose remedial actions in order to help control and manage risk areas that have been SEC focus points. Tirep Finances will:

* Deliver a mock audit request list to be completed by the advisor or sub-advisorssub-advisors and corporate compliance officers (CCO)
* Work with the CCO to identify and review information the SEC may request in a routine SEC Examination
* Review the advisor’s current compliance program to identify potential gaps with respect to Rules 206(4)-7, and Taxes regulations
* Conduct on-site interviews with relevant advisor personnel
* In consultation with the CCO, review the Advisor’s operations to determine conflicts of interest and risk exposure
* Review advisor’s Form ADV filings
* Issue a written report of all findings that include general recommendations of enhancement with respect to Advisor’s compliance program, our evaluation as to the overall adequacy and effectiveness of the program and an assessment of the advisor’s readiness for an SEC examination

Marketing Materials Review

Conduct Mock Regulatory Examination

Exchange Trading Product Consulting


Tirep Finances and its affiliated broker-dealers review more than 1,500 pieces of marketing material each year. This material includes fund fact sheets, websites, social media marketing materials, article reprints, presentations, annual and semi-annual reports, shareholder letters and internal communications. We believe that our success in this area is due to our advertising review compliance team’s industry and regulatory knowledge, and our ability to work closely with our valued clients and the appropriate regulatory bodies. 

Tirep Finances will review, provide comments, and file, if applicable, all marketing materials via our partner AdCompliance™, through our proprietary internet based portal to coordinate marketing material review with SEC and FINRA. AdCompliance™, was designed with the user in mind – whether that be the Marketing Department, Compliance Department or Management Teams, our partners software is web-based, functional, comprehensive, and practical. 

In particular, the systems primary competitive advantage is its Work Flow Management which allows for customized workflows, collaboration with peers, progress tracking, audit trails, reporting capabilities, a single repository, disaster recovery, and is SEC Rule 17a-4 compliant.

Exchange Trading Product Consulting

Exchange Trading Product Consulting

Exchange Trading Product Consulting


As part of a rapidly expanding and innovating market, Tirep Finances offers solutions to some of the largest companies in LATAM market. Our professionals work with our clients on all the required components of starting an regulatory and ethic management, including set-up, operations, regulatory requirements and distribution guidance. 

As a strategic partner, Tirep Finances is your representative to the Authorized Participant Community and the conduit through which your daily order activity is channeled.

  • Start-up consultation including industry, financial, operational, regulatory and compliance advice
  • Product Development
  • Selection of potential service partners including Authorized Participant’s, sub-advisors, index providers, administrators/custodians

NFA and 155-17 Law Consulting

Exchange Trading Product Consulting

NFA and 155-17 Law Consulting


Tirep Finances provides comprehensive and tailored compliance solutions to U. S. National Futures Association (NFA) Dominican Republic registered entities including Commodity Pool Operators (CPOs). Our NFA team currently works with a diverse group of NFA-registered and affiliated firms. 

Tirep Finances solutions provide “best practices” and ensure that 1933 Act CPO’s meet existing regulatory standards. We work with CPOs that are operated as a “stand-alone” entity or as part of a larger complex with other NFA-registered entities such as Commodity Trading Advisors (CTAs) or Futures Commission Merchants (FCMs). 

Tirep Finances employs skilled compliance professionals (including securities attorneys) who have worked successfully with NFA-registered firms in the alternative and registered investment funds environment. Tirep Finances will:

* Assist clients with registration as a CPO or CTA and the registration of personnel to become Principals and/or associated Persons of the CPO/CTA
* Develop written Supervisory Procedures (WSPs) and a customized Compliance Program Risk and Organizational Matrix for each of your commodity pools
* Assess annual and quarterly NFA obligations and other specific compliance needs
* Train client personnel on the requirements of their CPO or CTA Compliance Program and its regulatory framework, providing insight concerning NFA inspection preparedness
* Serve as Security Manager

Distribution Consulting

Exchange Trading Product Consulting

NFA and 155-17 Law Consulting


Tirep Finances offers a consultative approach to help our clients with their asset raising success. Tirep Finances experience in and passion for collaborating with our clients to navigate the complex distribution landscape allows clients to leverage our resources. This includes in-depth information about our broker-dealer, platform and RIA relationships, guidance on share class rationalization, best practices with regards to research teams, centers of influence and eligibility requirements, enhanced marketing opportunities, and comparative fee analysis.

More extensive engagements involve a results-oriented, integrated approach to help our clients construct a long-term plan to raise assets including the creation of a customized distribution strategy plan to supplement, refine or build out a client’s current efforts as well as the development of sophisticated sales strategies and product positioning to help differentiate and gain access to opportunities.

Tirep Finances is also pleased to offer a sales reporting solution, in partnership with Broadridge-Foreside. This discounted service, which has historically been cost-prohibitive to advisors with small and medium-size transaction volumes, gives our clients access to valuable information which helps develop and manage their asset growth plans and sales process.

Additionally, Tirep Finances has partnered with Delta Data to offer a robust, comprehensive solution designed to help asset managers gain added insight into their intermediary relationships and distribution fees. Delta Data's Oversight Solution Platform is a suite of oversight products that leverages distribution transparency data integrated with reporting, analytics, and counterparty management. 

This platform allows companies to increase the number of firms they review as well as increase the detail in which they review them. The solution also helps asset management firms create real-time dynamic board reports and guards against incurring SEC fines related to "Distribution in Guise."

Privacy Policy

"", complies with the 155-17 law to prevent the laundering of money and financing of terrorism and the proliferation of weapons of mass destruction of the Dominican Republic, the data privacy laws of GDPR of the EU and the United Kingdom, Organic Law 15/1999 of 13 December personal data protection, so that your data will be treated with due confidentiality, and with of the Dominican Republic due confidentiality.