Securities Compliance

Securities Compliance

Lax securities compliance practices put funds and fund administration businesses at risk.

Lax securities compliance practices put funds and fund administration businesses 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.

Make your securities compliance benefit you

Securities compliance best practices are
in your interest

Agile Legal
Blue Sky state, SEC and International Securities Compliance

Fund Formations

Agile Legal
Blue Sky state, SEC and International Securities Compliance

Fund Compliance

Blue Sky state, SEC and International Securities Compliance

SEC Reporting

Agile Legal
Agile Legal
Blue Sky state, SEC and International Securities Compliance

Entity Management

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

Securities Compliance Services and 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. Our integrated services and technology for Blue Sky compliance of private funds ensure 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.