Fund Services
Navigating the complex regulatory landscape of securities and fund management, whether for Reg A, Tier 2 offerings, private funds under Regulation D, or employee benefit offerings, can be overwhelming. Our fund services help you mitigate the risk your funds are exposed to by achieving compliance and sound management – giving you peace of mind.
Understanding the
Corporate Transparency Act
As someone with decision-making and legal responsibilities in your company you may well feel at a loss as to where to start when it comes to complying with these new regulations. Agile Legal is here to simplify the compliance process and keep you compliant by managing the whole process of meeting the CTA’s requirements.
In order to be compliant with the CTA’s regulations, you must first determine if any of your entities fall under one of the 23 exemptions. For any non-exempt companies, you then need to report your beneficial owners or employees with substantial control over the business. While you may be hesitant to release your personal identifying information, compliance with these requirements will protect your business from harsh fine and penalties.
Agile Legal’s team of attorneys, certified AML professionals, and senior paralegals have studied the new law extensively. We’ve designed a system so we can keep our clients compliant with the CTA’s regulations.
Need More Information About the Corporate Transparency Act?
Don't Expose Yourself to Unnecessary Risk
Missed Deadlines
Disorganization during the planning process can lead to missed deadlines, sending your progress backwards.
Delayed Entry
Non-compliance and unfamiliarity with local regulations may delay your entry into a country, sacrificing your time and money.
Unsuccessful Projects
These and countless other disruptions hinder the success of your projects and complicate meeting performance goals.
Common Problems When Managing Global Subsidiaries
DELAYS
Delays in entering a country are stressful and can impact the bottom line of your business.
BARRIERS
Language, informational, and political barriers make the process of expansion frustrating.
CAPACITY
Lack of local expertise shouldn't hold you back from managing global subsidiaries.
Lax Compliance Practices Put Funds At Risk
The cost of over-compliance, non-compliance or falling out of good standing can seem insignificant in comparison to the sums of money involved in private investment funds and other investment vehicles but they expose funds to unnecessary risk and scrutiny that can have consequences far beyond a single fund in your portfolio. Most providers of securities compliance services are not delivering high quality service to their customers.
Secure Your Offerings And Your Reputation With Our Fund Services
- Reduce the scrutiny your funds face by making only the required filings.
- Protect your funds from non-compliance and remain in good standing.
- Save money and satisfy your legal obligations with ease.
Managed Services For Corporate Transparency Act Compliance
Compliance Services For Securities Offerings & Funds That Give Peace Of Mind
Policy Creation
- Reporting
- Changes
- Monitoring
- Communication
BOIR Preparation
- Help verify Beneficial Owner information
Beneficial Owner Identification
- Identify and document Beneficial Owners
by interest and substantial control
Reporting Company Exemption Analysis
- Review company records & entity charts
- Document exemption status by Reporting Company
- Monitoring
- Communication
BOIR Filing and Monitoring
- File BOIR with FinCEN, filing updates as needed
- Monitor changes to:
- Beneficial Owners
- Reporting Company
- FinCEN and CTA laws and rules
Managed CTA Compliance – Enterprise
- Help verify Beneficial Owner information
- File BOIR with FinCEN, filing updates as needed
- Monitor changes to:
- Beneficial Owners
- Reporting Company
- FinCEN and CTA laws and rules
Managed CTA
Compliance – Lite
- Initial state notice filings
- Annual renewal filings
- Standard filing, pre-filing, and expedited filing available
- Ongoing sales monitoring to prevent over-selling
- Agent for service of process
Regulation A, Tier 2
STATE BLUE SKY AND SEC SECURITIES COMPLIANCE
- Prepare and file Form ID
- Obtain CIK codes
- Prepare and file Form D
- Prepare and file Form DA
- State Blue Sky exemption analysis
- State Blue Sky renewal filings
Regulation D
STATE BLUE SKY AND SEC SECURITIES COMPLIANCE
- State Blue Sky compliance - Rule 701
- State Blue Sky compliance - Rule 4(a)(2)
Employee Benefit Plans
STATE BLUE SKY AND SEC SECURITIES COMPLIANCE
- State Blue Sky Law Monitoring & Regulatory Updates
- Preparing Offering Memorandums
- Subscription Agreement Preparation
- Anti-Money Laundering and Know Your Customer compliance
- Conducting bad-actor disqualifications
- Accredited investor checks
- Provide sophisticated investor certifications
- Assistance forming funds in the US for non-US entities
Other Securities Services
STATE BLUE SKY AND SEC SECURITIES COMPLIANCE
Fund portfolios consist of many issuers and entities that can require additional compliance and governance services. Furthermore, new funds require the formation and maintenance of new corporate entities. Take care of all your obligations with our comprehensive entity management services:
- Entity formations
- Creating LP’s, LLC’s or other legal entities
- Minute book maintenance
- Annual consents/minutes preparation
- Stock ledger management and capitalizations
- Stock certificate preparation
- Fund formations and compliance in US territories & non-US jurisdictions
- Preparing operating agreements and by-laws
- Operating agreements updates/amendments
- Registered agent services
- Annual report preparation and filing
- Specialized support for non-US companies, investors and fund administrators
Corporate Services
Global Subsidiary Management Tiers
To simplify your entity management, Agile Legal has designed tiers that package our management services, making it easier for our clients to get the help they need.
Not Sure What Services You'll Need?
Contact our international team and we can advise what tier is best for you.
Where We Can Assist With Global
Subsidiary Management
We have extensive country coverage across the globe
This map shows the countries where Agile Legal currently manages entities. These countries are categorized either as Band A or Band B. These bands are based upon the differing levels of complexity of corporate compliance for entities in those countries.
Band A countries have fewer and less complicated regulations for entities than countries in band B. This often correlates with whether a country has a civil law or a common law legal system. Countries with civil law systems tend to be more bureaucratic and stringent with compliance, requiring more work and expertise.
Learn more about the impact of common law and civil law legal systems on global subsidiary management in our blog article.
Looking to Dissolve a Global Subsidiary or Branch?
Agile Legal provides cost-effective and timely rationalization services to help you dissolve underperforming subsidiaries and branches. Check out our International Services page to learn more.
How the Corporate Transparency Act Affects
Formations & Dissolutions
The CTA affects a wide range of fields, and formations and dissolutions are no exception. While the CTA is still in its infancy and will likely be changing as 2024 progresses, these infographics demonstrate how the current state of the CTA affects corporate formations and dissolutions.
Unsure Where to Start with International Support?
Use our contact us page to get in touch with us to see if working with the international team is a good fit for you.
Need International Support?
We have extensive country coverage across the globe
Contract Clause Library
Concerned about your knowledge of different contract definitions?
View our contract clause library to stay up to date with the terminology you should be using in your contracts.
Client Testimonial
Our Process
Order a Legal Service
Tell us your needs.
Follow Up Call
We will arrange a time to speak to you about getting the help you need.
Safeguard Your Success
You will get the services you need.
Have Outstanding Questions About the CTA?
Agile Legal’s team of CTA experts are ready at your disposal to answer any questions you may have about the CTA and its compliance requirements. Book a meeting with us to get 1:1 support from our compliance professionals.
Fund Services and Securities Compliance Support
Your funds need to stay in good standing, but securities compliance should not create unnecessary bills or expose you to scrutiny that could have been avoided. Use our integrated fund services for Blue Sky compliance of securities offerings and private funds to ensure they remain in compliance with federal and state obligations. Our fund specialists monitor sales data and state regulatory changes to keep funds in compliance.
Looking to dissolve a foreign entity?
Check out our rationalization services.