Recent changes to the regulatory landscape now require managers of certain private funds to register as investment advisers. In keeping with a fund’s newly registered status, managers are also expected to follow specfiic record-keeping and disclosure requirements. These requirements can be quite cumbersome if a firm has neither the time nor adequate resources to devote to a full-time compliance program. Regulatory Compliance and its professional staff can help your firm successfully navigate these requirements, allowing you to focus more on your business.
Comprehensive Registration Services
The complexities of the investment adviser registration process are made easier with Regulatory Compliance at your side. From preparing the application paperwork to negotiating with state and federal regulators, our experts will help you gather the necessary books and records, create and implement policies and procedures, and provide you with ongoing consultation every step of the way. Our expertise streamlines the process.
Meeting enhanced compliance requirements
Our compliance specialists guide you in developing a detailed compliance program that includes:
- Staff compliance training and review
- Operational consulting methods/strategies review
- Thorough review and analysis of offering, sales/advertising, and disclosure materials
- Due diligence reporting and training of third-party vendors/managers
- Books and records preparation, retention, and safekeeping
- Accurate and timely regulatory reporting
- Annual compliance testing and monitoring program
- Comprehensive consultation on regulatory changes
- Monthly compliance notifications
- Mock examination/audit services
- Annual compliance analysis and in-depth consultation
Get a jump on compliance
Put our two decades of experience to work for you — from investment adviser registration services to developing and maintaining an effective compliance program.
To learn more about any of our compliance services, contact us or call (603) 434-3594.