PROVIDING COMPLIANCE PRODUCTS & SOLUTIONS
PROVIDING COMPLIANCE  PRODUCTS & SOLUTIONS 

ABOUT US

AMC Compliance was founded on the idea of providing tested, practical compliance products and solutions to the asset management sector. Since our founding, we have provided our clients with practical compliance products and solutions to operate confidently.

 

Our Associates have over  25 years of industry experience providing, among other services, legal and compliance advice and counseling to investment advisers, securities broker-dealers, mutual funds, private equity firms and hedge funds, and insurance companies and their affiliated distributors. Our Associates have expertise in conducting investigations, inspections, examinations and audits, expertise in establishing, supervising and monitoring compliance and risk management programs, expertise in developing written compliance policies and procedures, expertise in monitoring compliance programs, and expertise in assessing compliance programs. Our experienced industry practioners and subject matter experts take a practical aproach to solving problems while being responsive to a variety of demands.

 

Augusto (“Gus”) D. Macedo, Esq. is the Managing Director of Asset Management Compliance Consulting Solutions, LLC (“AMC Compliance”). He has over 25 years of experience in the asset management sector, providing regulatory compliance consulting services to investment advisers, private equity firms and hedge funds, municipal and securities broker-dealers, mutual funds, life insurance companies and affiliated distributors, and banks. Gus’s expertise includes establishing, supervising, and monitoring compliance and risk management programs, monitoring and assessing the effectiveness of compliance and risk management programs, and conducting inspections, examinations, audits, and internal investigations.  Prior to Gus assuming his role at AMC Compliance, he served in various senior level positions at Calvert Investments, Inc., Ameritas Life Insurance Corporation, and the Securities and Exchange Commission in the Office of Compliance Inspections and Examinations and Division of Enforcement. Gus earned his Juris Doctor degree in Law from Thurgood Marshall School of Law, Texas Southern University (Houston) and his Bachelor of Science Degree in Political Science from Tennessee State University (Nashville). His certifications include FINRA Series 7 and 24 Licenses and CFA Institute’s Claritas® Investment Certificate.

CONTACT US

Augusto “Gus” Macedo

Managing Director

 

11201B Lockwood Drive

Silver Spring, Maryland  20901

Tel: 301-523-6427

 

AMC classified NAICS codes:

  • 522120 - Savings Institutions
  • 522130 - Credit Unions
  • 523110 - Investment Banking and Securities Dealing
  • 523120 - Securities Brokerage
  • 523210 - Securities and Commodity Exchanges
  • 523910 - Miscellaneous Intermediation
  • 523920 - Portfolio Management
  • 523930 - Investment Advice
  • 523991 - Trust, Fiduciary, and Custody Activities
  • 523999 - M
  • 522110 - Commercial Banking
  • iscellaneous Financial Investment Activities
  • 524113 - Direct Life Insurance Carriers
  • 524210 - Insurance Agencies and Brokerages
  • 525110 - Pension Funds
  • 525910 - Open-End Investment Funds
  • 611430 - Professional and Management Development Training

 

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