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
- 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.
Securities compliance best practices are
in your interest
- Regulation A offerings and appropriate fund formations safeguard the future security of your funds.
- Self-executing exemptions and Form D notice filings protect your funds from exposure.
- Experienced, qualified, on-demand team in Blue Sky state securities compliance and SEC compliance.
Blue Sky state, SEC and International Securities Compliance
Fund Formations
- Create fund corporate structures
- Operating agreement preparation
- Offering memorandums
- Initial Form D filings within designated timeframe
- Initial State Blue Sky notice filings
- Regulation A registrations
- Form D renewals and amendments
- Blue Sky administration and annual renewals
- Preparation and execution of new state filings
- Comprehensive exemption analysis
- Fund sales data monitoring
- Monitoring state statutes for regulatory updates
- 360º reporting of pending and completed updates on our client portal
Blue Sky state, SEC and International Securities Compliance
Fund Compliance
Blue Sky state, SEC and International Securities Compliance
Entity Management
- Fund formations and compliance in US territories & non-US jurisdictions
- Assistance forming funds in the US for non-US entities
- Initial filings and annual renewals
- Registration statements: S-1, S-8, F-1 Form 10 etc.
- Annual reports: 10k. 20-F etc.
- Quarterly reports: 10Q etc. 8k/6k
- Proxy statements
- Ownership forms: 3, 4, 5, 13D, 13F, 13G
- All Edgarization/XBRL
- BEA filings
Blue Sky state, SEC and International Securities Compliance
SEC Reporting
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:
- Minute book maintenance
- Annual consents/minutes preparation
- Stock ledger management and capitalizations
- Stock certificate preparation
- Operating agreements updates/amendments
- Registered agent services
- Annual report preparation and filing
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.
