Private & Hedge Fund Compliance Outsourcing
Foreside understands the compliance concerns surrounding investment managers of private funds and hedge funds, as well as the challenging task for investment managers to establish the needed compliance oversight of a firm’s operations. Foreside provides an extensive suite of compliance services and strategic oversight for managers of private funds and hedge funds, thus allowing for managers to focus on their unique businesses. Foreside’s expert attorneys and compliance professionals can provide the analysis needed to design a solid and effective compliance program to control and manage regulatory liability, as well as address operational risk areas within your organization.
- Assist with SEC registration and filing of Form ADV (See Registration Consulting Services).
- Develop and implement a compliance program consistent with regulatory standards and tailored to the firm’s size, culture and business operations, including:
- Risk assessment and gap analysis with heightened attention to:
- Registration and filings.
- Valuation/best execution/trade management.
- Conflicts of Interest.
- Code of ethics/personal trading review.
- Anti-money laundering review.
- Specialized reviews, compliance assessments and regulator-mandated consulting.
- Mentoring and advisement on the role of the CCO.
- Assist with the drafting of CCO reports and establishing compliance calendars.
- Provide analysis on how new/revised regulations affect the firm’s business.
- Conduct mock regulator examinations (See SEC Mock Audit Services).
- Assist with vendor/service provider selection, oversight and due diligence.
- Assist with conversion of registered funds to registered investment companies.
Support your in-house CCO
- We provide services to support your in-house CCO:
- Tasked based support.
- Supplement your compliance weaknesses.
- Moments notice request for support throughout the year.