Regulatory Compliance

In consultation with a Client’s regulatory counsel:

Standard U.S. Based Regulatory Compliance

  • Conducting and documenting testing procedures as set forth in the compliance calendar
  • Reviewing marketing and advertising materials
  • Conducting annual review
  • Prompt apprisal of significant compliance events or regulatory changes
  • Monitoring and reporting standard Code of Ethics policies with implementation of Compliance Science tracking software

Comprehensive U.S. Based Regulatory Compliance

  • Provisioning and reviewing daily allocation reports
  • Provisioning and reviewing beneficial ownership thresholds
  • Provisioning, reviewing and monitoring CFTC and commodity position limit reports
  • Preparing and reviewing SEC and CFTC regulatory filings (e.g., 13F, 13G, treasury, Form 40)
  • Assisting with the preparation of annual Form D filings for fund entities
  • Assisting with or reviewing annual Form ADV or 7-R applications
  • Coordinating payment of annual filing fees, entity level annual taxes and registered agent fees
  • Providing annual compliance and ethics training for Firm personnel
  • Assisting with routine SEC or CFTC audits