2021 Global Business Insight Awards: Orical LLC has been selected as Best Regulatory and Compliance Consulting Firm in New York, USA 2020 Leading Advisor Awards – Leading Investment Regulator and Compliance Advisor of the Year, New York

We are investment management industry experts who develop and administer customized compliance programs representing the industry's best practices at a fraction of the cost of bringing commensurate expertise in-house.

Latest News

Orical Regulatory Update June 2021

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ODD June Briefing – June 17th, 2021

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Orical Regulatory Update May 2021

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Orical Regulatory Update April 2021

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Orical Regulatory Update 03-17-2021

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SEC Final Rule: Advisers Act Rule 206(4)-1 (the “Marketing Rule”)

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Orical Regulatory Update 02-17-2021

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January-2021- Operational Due Diligence Briefing

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Orical Regulatory Update 01-13-2021

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Orical Regulatory Update 12-08-2020

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Orical Regulatory Update 11-17-2020

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Orical Regulatory Update 11-3-2020

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CCO Briefing 08-18-2020

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CCO Briefing 07-14-2020

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CCO Briefing 07-01-2020

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CCO Briefing 06-02-2020

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CCO Briefing 05-15-2020

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CCO Briefing 05-06-2020

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CCO Briefing 04-15-2020

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CCO Briefing 03-17-2020

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CCO Briefing 02-25-2020

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CCO Briefing-Volume 20, Issue 1

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CCO Briefing-Volume 19, Issue 7

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CCO Briefing-Volume 19, Issue 10

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CCO Briefing-Volume 19, Issue 12

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Nov. 2019 ODD Breakfast Briefing

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CCO Briefing-Volume 19, Issue 6

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CCO Briefing-Volume 19, Issue 9

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CCO Briefing-Volume 19, Issue 11

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CCO Briefing-Volume 19, Issue 4

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CCO Briefing-Volume 19, Issue 5

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CCO Briefing-Volume 19, Issue 8

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June 2019 ODD Breakfast Briefing

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CCO Briefing-Volume 19, Issue 3

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March 2019 ODD Breakfast Briefing

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CCO Briefing-Volume 19, Issue 2

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CCO Briefing-Volume 19, Issue 1

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December 2018 ODD Breakfast Briefing

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Cherry Picking Strong Investment Management December 2018

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Lending Club December 2018

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Mount Kellett Conflicts and Other Violations

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Testimonial Rule November 2018

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Undisclosed Conflicts December 2018

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CCO Briefing-Volume 18, Issue 7

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CCO Briefing-Volume 18, Issue 8

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Pay to Play Cases How to Lose $530.5 Million of Investments

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CCO Briefing-Volume 18, Issue 6

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Pay To Play Revisited Political Contributions July 2018

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CCO Briefing-Volume 18, Issue 5

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Compliance Outreach Program April 2018

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2018 SEC Compliance Outreach Program Summaries

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2018 SEC Compliance Outreach Program Summaries

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CCO Briefing-Volume 18, Issue 4

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CCO Briefing – Volume 18, Issue 3

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CCO Briefing-Volume 18, Issue 2

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Orical Partner Greg Florio Quoted Regarding SEC Examinations of RIA

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CCO Briefing-Volume 18, Issue 1

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2017 SEC Year in Review

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CCO Briefing-Volume 17, Issue 2

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CCO Briefing-Volume 17, Issue 1

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2017 SEC Compliance Outreach Program Summaries

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SEC Files Insider Trading Charges Related to Medicare Reimbursement Rates May 2017

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Leon Cooperman Settlement

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Inadvertent Custody May 2017

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Beneficial Ownership Reporting May 2017

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Prevention of theMisuse of Material nonpublic Information by Investment Advisers

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2016 SEC Compliance Outreach Program Summaries

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2016 SEC Compliance Outreach Program Summaries

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We understand the day-to-day challenges of running an investment management firm.

Our principals have extensive experience serving as senior attorneys and c-suite officers for industry-leading investment management firms.
Best-in-Class Investment Management Compliance Programs
Responsive Attention from a Dedicated Compliance Team
Cost Effective, Leverage our Expertise & Technology
Extensive Consulting & Buy-Side Experience

Our Services

We provide practical solutions for regulatory and compliance issues facing investment advisers, private funds, and broker-dealers globally. Our services provide you with the industry and regulatory knowledge of expert operational and compliance professionals with the dedication and responsiveness of an in-house compliance department.

Select a Service to Learn More

About Us

COMMITMENT | RESPONSIBILITY | EXPERTISE | SERVICE |TRUST

Orical Partners are experts in investment adviser and broker/dealer compliance programs. Our Managing Partners, Greg Florio and Jim Leahy, joined forces while working together at a multi-billion-dollar global fund manager, as Senior Counsel/Chief Compliance Officer and Chief Financial Officer, respectively. They came up with the idea to create a new type of consulting service and software company focused on helping clients grow and succeed by implementing institutional quality compliance and operational programs for every type of client in a cost-effective and business-savvy way.

In 2010, that idea was put to action and Orical was launched.

At Orical, we provide our clients with a unique offering: the industry and regulatory knowledge of experienced professionals equal to that of a large firm, with the dedication, attention, and responsiveness of a proper in-house compliance and legal** staff. Our business model was built around our clients’ primary needs, growth, and prosperity, which led us to create a hands-on, practical application compliance service. Our goal is to provide the best available service cost-effectively so that our clients consider Orical as a valued member and partner of its business.

The Orical Group of Companies

The Orical group provides one unified offering of Investment Advisory, Legal and Compliance Services with Leading-Edge Investment Management Compliance Software Platform

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*Disclaimer

Florio Leahy LLP (“FL”) is a law firm and its engagements, communications and work-product (collectively, “Work Product”) are subject to the rules governing attorney-client privilege. Orical LLC (“Orical”) and Real World Compliance (“Real”) are investment management compliance consulting and technology firms, which are under common control with FL. Orical and Real are not a law firms and their Work Product is NOT subject to the rules governing attorney-client privilege.

FL will provide Work Product only under a separate and valid engagement letter agreement that conforms to the requirements of Part 1215 of the Joint Rules of the New York Appellate Division. If any person has any questions regarding which entity, FL, Orical or Real, is providing it services on a particular engagement, such questions should be directed to a principal of either firm. Regarding FL, this website should be considered attorney advertising.

2021 Global Business Insight Awards

Orical LLC has been selected as Best Regulatory and Compliance Consulting Firm in New York, USA

2020 Leading Advisor Awards

Leading Investment Regulator and Compliance Advisor of the Year, New York

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Let's Connect

For more information on Orical, or for any general inquires, please contact us at info@orical.org , or fill out the below form to speak with a member of the Orical team

Orical LLC

Phone: (212) 257-5790
Fax: (212) 257-5788
Address: 641 Lexington Avenue, 17th Floor
New York, NY 10022

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