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.
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.
Compliance Services for Securities Offerings & Funds That Give Peace of Mind
Regulation A, Tier 2
State Blue Sky and SEC Securities Compliance
- 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
- 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
Rule 506(b) and 506(c) of Regulation D Securities
State Blue Sky and SEC Securities Compliance
Employee Benefit Plans
State Blue Sky and SEC Securities Compliance
- State Blue Sky compliance - Rule 701
- State Blue Sky compliance - Rule 4(a)(2)
Other Securities Services
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
Corporate Services
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
Our Process
Order a Legal Service
Tell us what you need in our quick and easy order form
Follow Up Call
Our experienced team will align our services to your requirements
Safeguard Your Success
You get the expert legal services needed to meet your business goals
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.