Securities compliance can be as diverse as the funds you manage. Agile Legal offers a variety of additional securities services to meet your specific requirements.
Our securities support goes beyond the basics and addresses the nuanced needs of funds. We provide ongoing monitoring and updates on state Blue Sky laws to keep your fund aligned with ever-changing regulations. Our team also assists with preparing offering memorandums and subscription agreements, conducting accredited and sophisticated investor checks and managing AML/KYC processes. For non-U.S. entities looking to form funds in the United States, we provide support to navigate the regulatory landscape.
At Agile Legal, we understand that securities compliance is vital to protecting your fund’s reputation and operations. By partnering with us, you gain access to a dedicated team committed to helping you navigate complex requirements with confidence.
Your Risk Without Proper Services
- Failing to meet state Blue Sky or SEC requirements can result in fines, legal challenges and reputational damage.
- Missing changes in Blue Sky laws or other securities regulations can lead to non-compliance and costly delays.
- Errors in conducting accredited investor checks or bad-actor disqualifications can expose your fund to liabilities and disputes.
- Poorly prepared offering memorandums or subscription agreements can hinder fundraising efforts and damage investor trust.
- Inadequate anti-money laundering and customer due diligence processes increase the risk of fraud and financial crimes.
- Non-U.S. entities without proper guidance on forming U.S. funds may face unnecessary obstacles and delays.
Fund Services Team
Meet Agile Legal’s Fund Services Team: experts committed to navigating fund regulations, streamlining compliance and preserving your fund’s success.
