Meet Qapp — the AI compliance platform for SEC-registered investment advisers, built by the compliance attorneys at Aviv. Marketing reviews, annual reviews, KYC, policies and training — drafted in minutes, signed off by experts.
Qapp automates the work that eats your week — and every output arrives as a documented, regulator-ready draft with the rule citations to back it up.
Upload a pitch deck, one-pager or website copy. Qapp flags performance-presentation issues, missing disclosures and prohibited statements — with the exact provision cited on every flag.
SEC Marketing Rule 206(4)-1Qapp assembles your testing results, findings and interviews into a complete annual review memo for CCO sign-off — the document examiners ask for first.
Rule 206(4)-7Investor onboarding checks that run themselves — identity, sanctions and background screening, with a clean audit trail and human review only where it matters.
AML / KYCTailored policies and procedures generated from your actual business — strategies, custody arrangements, personnel — not a recycled off-the-shelf manual.
P&P · Code of EthicsCustom training sessions built around your firm's risks and recent regulatory developments — so annual training is relevant, not a checkbox.
Culture of ComplianceFitness & propriety assessments under SMCR — questionnaire analysis, risk-rated memos and sourcebook citations for every certification decision.
FCA FIT · SMCRQapp isn't a chatbot bolted onto a checklist. It's the workflow of a seasoned compliance team, encoded — with your CCO (or ours) always holding the pen on the final call.
Upload your documents — marketing materials, policies, testing results, investor files. Qapp maps them against your regulatory obligations.
→ Ingest & mapReviews, memos, policies and training land as complete drafts — every finding cited to the rule, every judgment call surfaced for a human.
→ Draft & citeFinal review stays with a qualified professional — yours, or an outsourced CCO from Aviv's bench of former in-house CCOs and attorneys.
→ Review & fileQapp is built on a decade of hands-on regulatory work. That practice is still here — full-service compliance support for private fund managers, registered advisers, CTAs and CPOs.
A dedicated Chief Compliance Officer for your firm — former in-house CCOs and attorneys who've built compliance programs from the ground up and sat across the table from the SEC, CFTC, FINRA and NFA.
Talk to us →Experienced Advisers Act attorney with extensive experience across private fund managers, broker-dealers and the commodity industry. Has built compliance programs from the ground up and worked directly with the SEC, CFTC, FINRA, NFA and international regulators. Co-author of a Risk and Compliance Handbook for the starting investment adviser, member of the NFA Business Conduct Committee, and a frequent speaker at compliance and investment industry events worldwide.
Over 15 years of experience across hedge funds, private equity, real estate and infrastructure. Former Director of Global Compliance at Lone Star Funds and Hudson Advisors, with deep expertise spanning SEC, CFTC/NFA, Hong Kong SFC and Singapore MAS regulatory regimes — bringing a truly global perspective to cross-border compliance programs.
A 30-minute demo. Bring a pitch deck, a policy manual, or last year's annual review — and watch Qapp go to work on it, live.
or write to info@avivcompliance.com