Alternative Investment Services

Print
   Print    
email
   Email

Alternative Investment Services

Foreside Alternative Investment Services, LLC (FAIS) is dedicated to compliance for advisers of privately offered funds, private equity and venture capital firms as well as institutional asset managers. Our professional staff has management and operational experience as well as legal expertise.

Foreside Alternative Investment Services

With a range of services, FAIS can meet your specific needs. We can:

  • Assist with SEC registration as an investment adviser (includes Form ADV)
  • Provide an interim CCO during a transition period
  • Create and maintain a compliance program design tailored to the firm’s size, culture and business 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/service provider selection and oversight
  • Assist with conversion of registered funds to registered investment companies