COMPLIANCE MONITORING PROGRAMS

Orical administers out-sourced Compliance Monitoring Programs for its clients in a manner that represents the industries' highest standards. Orical’s Compliance Monitoring Programs differ from services offered by compliance consulting firms and traditional law firms in that Orical’s Compliance Monitoring Programs are customized and efficient. In addition, these programs are cost-effective since they can be provided at flat and affordable monthly rates.

These Compliance Monitoring Programs allow our clients' full-time personnel the increased bandwidth to attend to other daily tasks associated with its business such as managing client assets and raising capital. All Orical Compliance Monitoring Program clients receive confidential compliance reports on a quarterly basis that summarize the procedures performed, disclose results and certify that the procedures have been conducted in accordance with the program’s agreed-upon procedures. Orical’s Compliance Monitoring Programs utilize cutting-edge technology to assist firms in the efficient administration of their Codes of Ethics and other compliance responsibilities. Questions regarding certain operational, trading and compliance issues will be answered by an experienced professional in a timely and confidential manner and, in most instances, at no additional cost. Orical’s Compliance Monitoring Program adds a desired measure of investor confidence and independence to the compliance and operational procedures of its clients.