Aviv Compliance · Est. 2017

Compliance,
handled.

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.

BUILT BY ADVISERS ACT ATTORNEYS · SEC / CFTC / NFA / FINRA / FCA
qapp.avivcompliance.com
⚡ Dashboard
Marketing Review
Annual Review
KYC
Policies
Training
Compliance Program — Live Status
Q3 Pitch Deck Review
Marketing Rule · 206(4)-1
3 FLAGS
Annual Compliance Review
Rule 206(4)-7 · Draft memo ready
DRAFTING
New Investor Onboarding
KYC · 14 checks completed
✓ CLEARED
Memo drafted ✓ ready for CCO sign-off
§ SEC Marketing Rule 206(4)-1 § Annual Review Rule 206(4)-7 § Form ADV § Form PF § Custody Rule 206(4)-2 § Code of Ethics 204A-1 § Books & Records 204-2 § CFTC / NFA § FCA SMCR & FIT § SEC Marketing Rule 206(4)-1 § Annual Review Rule 206(4)-7 § Form ADV § Form PF § Custody Rule 206(4)-2 § Code of Ethics 204A-1 § Books & Records 204-2 § CFTC / NFA § FCA SMCR & FIT
35+Years of combined compliance experience
2017Founded by an Advisers Act attorney
5Regulatory regimes covered — SEC · CFTC · NFA · FINRA · FCA
minutesFrom upload to reviewed, cited draft
⚡ QAPP — THE PLATFORM

Your compliance program, running itself.

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.

01

Marketing Material Review

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)-1
02
§

Annual Compliance Reviews

Qapp 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)-7
03

Autonomous KYC

Investor onboarding checks that run themselves — identity, sanctions and background screening, with a clean audit trail and human review only where it matters.

AML / KYC
04

Compliance Policy Generator

Tailored policies and procedures generated from your actual business — strategies, custody arrangements, personnel — not a recycled off-the-shelf manual.

P&P · Code of Ethics
05

Tailored Training Generator

Custom training sessions built around your firm's risks and recent regulatory developments — so annual training is relevant, not a checkbox.

Culture of Compliance
06
🜲

UK FCA F&P Assessments

Fitness & propriety assessments under SMCR — questionnaire analysis, risk-rated memos and sourcebook citations for every certification decision.

FCA FIT · SMCR
How Qapp works

AI drafts. Experts sign off.

Qapp 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.

1

Connect your program

Upload your documents — marketing materials, policies, testing results, investor files. Qapp maps them against your regulatory obligations.

→ Ingest & map
2

Qapp drafts & flags

Reviews, memos, policies and training land as complete drafts — every finding cited to the rule, every judgment call surfaced for a human.

→ Draft & cite
3

Your CCO signs off

Final review stays with a qualified professional — yours, or an outsourced CCO from Aviv's bench of former in-house CCOs and attorneys.

→ Review & file
Aviv Advisory Services

The humans behind the machine.

Qapp 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.

01SEC registration & ERA filings
02Tailored policies & procedures
03Mock regulatory audits
04Regulatory examination support
05Form PF & regulatory filings
06CFTC / NFA licensing — CTAs, CPOs & IBs
07Marketing material reviews
08Annual compliance reviews
09Customized compliance training

Outsourced CCO

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 →
Leadership

Built by people who've done the work.

UR

Uzi Rosha

Founder & Managing Partner

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.

NY Bar (2004) LL.M. Columbia LL.B. Tel-Aviv Series 7 · 24 · 63 · 55 · 3 NFA BCC Member
TL

Tsering Lama

Compliance Leadership

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.

M.L.M. Compliance — HKU B.B.A. Finance — Baruch SEC · CFTC/NFA · SFC · MAS
See it on your own documents

Watch Qapp review your actual marketing deck.

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