Hedge Fund Advisory & Compliance
Since the passage of the Dodd Frank Act, advisers to hedge funds have been a primary focus to regulators. Our Hedge fund advisory and compliance 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. Core Compliance & Legal Services, Inc.℠ ("Core Compliance") 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.
Practical Solutions to Support the Fund
Core Compliance’s hedge fund advisory and compliance 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 hedge fund compliance 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
- Compliance Program development and maintenance for conducting
Core Compliance hedge fund consultants provide all of these customized hedge fund advisory and compliance services based on your unique business needs.
For more information or to speak with one of our compliance consultants, please contact us.