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
- File with only the regulators you need to so regulators who have no jurisdiction over your funds are not scrutinizing them.
- Protect your funds from non-compliance and keep them in good standing.
- Don’t overpay and end up with a bad service at the same time.
Compliance Services for Offerings & Funds So You Can Have Peace of Mind
Regulation A, Tier 2
Blue Sky state, SEC and International Securities Compliance
- State Notice Filings
- Standard, Fast-track, and Expedited service times
- Annual renewal filings
- Oversale monitoring
- Agent for Service of Process
- Prepare and file Form ID
- Obtain CIK codes
- Form ID filings
- Form DA filings
- State Blue Sky exemption analysis
- State Blue Sky renewal filings
Rule 506(b) and 506(c) of Regulation D Securities
Blue Sky state, SEC and International Securities Compliance
Employee Benefit Plans
Blue Sky state, SEC and International Securities Compliance
- State Blue Sky compliance - Rule 701
- State Blue Sky compliance - Rule 4(a)(2)
Other Securities Services
Blue Sky state, SEC and International 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
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:
- 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 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.