The emergence of new legislation will force many hedge fund firms to examine their current registration and core compliance program.  CCLS can help Funds amend their regulatory filings and update their compliance program to meet the latest regulatory requirements.

CCLS offers training and education on these latest regulatory rules and assists funds with identifying the additional requirements they will need to comply with, including state or federal (SEC) registration and compliance management.

For those Funds requiring formation services, please click here.

Hedge Fund Registration Services

For Clients Subject to SEC Registration, CCLS offers:

• Registration and filing of Forms ADV
• Written policies and procedures in conformance with Rule 206(4)-7
• Assistance with conducting the annual review
• Mentoring and advisement on role of the Chief Compliance Officer (“CCO”)
• Assessment of key risks and how such risks can be mitigated and properly addressed including side-by-side management concerns, side letters, liquidity, and valuation issues

For Clients Subject to State registration, CCLS offers:

• Registration and filing of Forms ADV with the state(s)
• Guidance on the specific state regulatory requirements for investment advisory representative registration and compliance program requisites
• Development of written policies and procedures in accordance with state requirements
• Assistance with implementation of your compliance program

Compliance Outsourcing Solutions (“COS”) for Hedge Funds

CCLS’s COS service includes consultation on building your compliance program, as well as designating and performing the Chief Compliance Officer role.  Among other things, CCLS will:

• Develop prequalification processes for potential investors
• Evaluate federal and state regulatory requirements for current compliance program
• Complete Regulation D and Blue Sky Filings
• Promotional materials including performance compliance reviews for necessary disclosures in Fund promotional materials, Fund fact sheets, pitchbooks, quarterly commentaries, and website material

• Provide all registration services above
• Authoring of written policies and procedures and standard operating procedures based on best practices
• Suggest compliance program technology solutions and other internal controls
• Develop 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