Regulatory & Compliance
We provide broad compliance solutions to hedge funds, private equity funds, broker-dealers and related industry service providers. By outsourcing their compliance needs to us, these service providers are able to stay focused on their strategic business while we concentrate on addressing their regulatory issues.
Our services include:
- Investment adviser SEC and State registrations, including Form ADV, compliance manuals, code of ethics;
- Set-up and monitoring of compliance procedures;
- Review of marketing materials from compliance perspective;
- Other regulatory filings.