Hedge Fund Compliance

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.


Hedge Fund Compliance & Risk Assessments

Practical Solutions to Support the Fund

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.

 

 

Let our consultants assist you with:

  • Registration and Filing of Forms ADV
  • Development of Written Policies and Procedures
  • Performance of the Annual Review
  • Mentoring the Chief Compliance Officer and training of team firm personnel
  • Assessment and mitigation 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
  • Assistance with implementation of your compliance program
  • All Registration Filings as required
  • Development of the pre-qualification processes for potential investors
  • Evaluation of federal and state regulatory requirements for current compliance program
  • Completion of Form D and Blue Sky Filings
  • Review of promotional materials, including performance and other necessary
    disclosures for Fund materials, Fund fact sheets, pitchbooks, quarterly commentaries,
    and website material
  • Review & refinement of written policies and procedures and standard operating
    procedures based on best practices
  • Implementation of Compliance Program technology solutions and other
    internal controls
  • Compliance Program development and maintenance for conducting
    supervisory reviews

CCLS provides all of these customized services
based on your unique business needs.

For more information, please contact us.