Robert R. Boeche II
Sr. Compliance Consultant
Since the passage of the Dodd Frank Act, advisors to hedge funds have been a primary focus to regulators. Our Hedge Fund Services can help Funds examine their core compliance program needs. We can assist with risk assessments, compliance program development, examination preparedness, and regulatory filings including Form D, Form ADV, Form PF and blue sky filings. Through our risk analytics, we help Funds to update their compliance program to meet the latest regulatory requirements. CCLS offers training and education on the latest regulatory rules and provides guidance on how they may impact your business. Whether an adviser is registered with a state or the SEC, we can assist hedge fund advisers with their compliance management.
CCLS’ hedge fund consultation services include guidance on compliance with various regulatory matters, including Regulation D, Regulation S, Rules 144 and 144A, and Sections 3(c)(1) / 3(c)(7) of the Investment Company Act of 1940, customized development of the compliance program and guidance on the specific state and federal (SEC) regulatory filing requirements.
CCLS provides all of these customized services
based on your unique business needs.
For more information, please contact us.