Investment Adviser Services
Our professionals will analyze your investment advisory objectives and prepare the documentation necessary to operate an investment adviser in compliance with regulatory requirements, including those that are subject primarily to SEC jurisdiction. We provide ongoing compliance services and deliver practical solutions. Our clients include investment advisers, hedge funds, private equity funds, real estate funds.
Solutions Include:
Preparation and annual update of ADV Parts 1 and 2, including, without limitation, for relying advisers
Bios of key personnel who provide investment advice to clients
Web IARD entitlement forms
Code of Ethics Manual: mandatory under the Investment Advisers Act of 1940 (the “Act”)
Policies and Procedures Manual
Anti-Money Laundering Procedures
Business Continuity Plan
Notices to clients: Privacy, Customer Identification Program, Annual and other Updates to Form ADV, Business Continuity Plan
Review of marketing materials, websites and other social media for compliance with the Act and SEC Advertising Rules
Review of sub-advisory agreements, if any
Custody issues
Trading issues and brokerage practices; proxy voting rules
Assistance in setting up an internal compliance program:
AML compliance
Email retention and review program
Assistance with website and other social media
Books and records
Regulatory filings: Form PF, 13H, etc.
State registrations, as necessary, post SEC-approval
Preparation for SEC exams (post SEC-approval)
