Investment Funds have unique compliance and organizational requirements. We work with clients to identify individual needs, and provide customized services tailored to meet those needs. These services may include any or all of the following:
- Identify federal and state investment advisor registration requirements of general partner. Prepare Form ADV; ensure consistency with offering material. Prepare investment advisor registration materials for all states, as required. Provide start-up files for registration documents.
- Identify Blue Sky filing requirements of investment vehicle. Prepare filings or work with attorney to ensure all filings are completed in a timely manner.
- Develop personal security transaction policy and insider trading policy based on existing trading practices; provide required regulatory documentation.
- Work with attorney to ensure that all partnership and corporate filings (if appropriate) are submitted to regulatory agencies in a timely manner, as required.
- Respond to most compliance and organizational questions surrounding the investment advisory and hedge fund environments.
- Provide compliance calendar and timely reminders of regulatory filing requirements; identify regulatory filing requirements for partnership and investment advisor in additional states; complete filings or provide assistance in preparation of filings, as desired.
- Review ongoing compliance with investment advisory and other regulatory requirements; review executed subscription agreements as received for compliance with offering material and regulations.