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| Hedge Fund Services |
| 5920 Friars Road Suite 208 San Diego, CA 92108 Phone: 619-278-0020 Fax: 619-278-0050 |
must comply with various securities laws and regulations.
To help ensure compliance, it is best to adopt and implement a comprehensive
compliance program for the fund.
CCLS provides compliance consulting services to both startup and existing
hedge funds and other private funds including:
- Analysis of registration requirements
- Creation of corporate structure for the Fund
- Developing prequalification processes for potential investors
- Evaluating federal and state regulatory requirements
- Completing Regulation D and Blue Sky Filings
- Evaluation of promotional materials, including:
- Review and recommendations of enhancements to the offering
memorandum delivery and subscriptions process - Authoring written policies and procedures for hedge fund best practices
- Suggesting compliance program technology solutions and other internal
controls - Development of a compliance program calendar for conducting
supervisory reviews
CCLS provides all of these customized services based on your unique
business needs. For more information about our hourly project rates and fixed
fee consultation packages, please call us at (619) 278-0020 or click here.
While CCLS does not undertake fund formations, this service is provided
through Jacko Law Group, PC, a boutique securities law firm founded by
Michelle Jacko, Managing Partner. For more information, please visit www.
jackolg.com or click here.
- Review of material content with Offering Memorandum
disclosures - Development of necessary disclosures for promotional
materials - Establishment of compliance processes for quarterly and
on-going reviews of website content, quarterly
commentaries, pitch-books, and one-page fund summary
sheets
One of the most frequently asked questions is,
“what regulatory rules govern hedge funds and
private investments?” Under federal and state
securities statutes, there are certain anti-fraud
provisions which apply that make it illegal to make
a statement or omission of a material fact when
offering securities.
These anti-fraud provisions apply regardless of if
the adviser to the hedge fund is registered or not,
or whether an offering of securities is exempt or
registered. If violated, the fund and its officers
