Fund Services

Fund Services

Navigating the complex legal landscape of fund management, including securities compliance with state blue sky laws and SEC regulations, can be overwhelming. Our fund services helps you mitigate the risk your funds are exposed to by achieving compliance and sound management so you can have peace of mind.

Lax securities compliance practices put funds at risk

The cost of over-compliance, non-compliance or falling out of good standing seems insignificant in comparison to the sums of money involved in private investment funds and other investment vehicles. But it is inefficient and opens funds up to unnecessary risk, exposure and scrutiny that can have consequences far beyond a single fund. Most providers of securities compliance services do not deliver a good service to their customers and are not interested in changing the status quo.

Secure your offerings and Your Reputation with our fund services

Regulation A, Tier 2

Agile Legal
Blue Sky state, SEC and International Securities Compliance

Rule 506(b) and 506(c) of Regulation D Securities

Agile Legal
Blue Sky state, SEC and International Securities Compliance

Employee Benefit Plans

Agile Legal
Blue Sky state, SEC and International Securities Compliance

Other Securities Services

Agile Legal
Blue Sky state, SEC and International Securities Compliance

Corporate Services

Agile Legal
Blue Sky state, SEC and International 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:

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 open up fund administration companies to scrutiny that could easily have been avoided. Using our integrated fund services and technology for Blue Sky compliance of private funds ensures your funds remain in compliance with federal and state obligations. Our fund specialists monitor sales data and state regulatory changes to keep funds in compliance. All fund actions, exemption assignments and corresponding statutes, filings, documents, and events are all posted online and available 24/7 on our client fund reporting portal.