Alternative Investment Services
Foreside’s Alternative Investment Services group (AIS) is dedicated to compliance for advisors of privately offered funds, as well as private equity and venture capital firms. AIS is led by a seasoned financial services executive with significant experience working with private funds, registered mutual funds and investment advisory firms.
Foreside’s Alternative Investment Services
With a range of services, AIS can meet your specific needs. We can:
- Assist with SEC registration as an investment advisor
- Provide advisor CCO support services
- Assist with conversion of hedge funds to registered investment companies
- Assist with compliance program design and implementation, monitoring and testing, including:
- Risk assessment and gap analysis
- Best execution/trade management reviews
- Code of ethics/personal trading reviews
- Anti-money laundering reviews
- Specialized reviews and compliance assessments
- Regulator-mandated consulting
- Conduct mock regulatory exams
- Assist with vendor selection and oversight
