Prepare now for the new Private Fund Rule requirements. Our one-of-a-kind compliance and risk-management solutions will favorably position your private fund adviser to the SEC as well as your investors. Whether a private equity fund, hedge fund or other private fund, we will create a completely customized program for you based on your needs and resources. Here’s a snapshot of just some of the services that can be included in our support program for your firm:
We’ll conduct a GAP Analysis of your current compliance program for private funds in relation to the new Private Fund Rule, to include:
- GAP Analysis findings and recommendations in a written matrix report
- Provide updates to compliance oversight and review processes
- Review investor offering documents, agreements, side letters, and any valuation opinion letters for compliance with the new Rule
- Provide updates to your Compliance Manual and other stand-alone policies and procedures, as needed
Additional Support Services Include:
- Remote, continuous risk-based testing with Annual Compliance Review
- Review of your BCP and cybersecurity protocols
- Regulatory filings, including Form PF
- Trade reviews, as applicable
- Firm comprehensive Risk Assessment
- SEC exam prep and assistance
- Advertising and marketing reviews, including pitch decks
- Web-based employee training
All FrontLine Edge services include:
- Frequent collaboration through scheduled calls and/or video meetings
- Ongoing access to our top executives with 24-hour response time for timely advising and Q&A
- Roster of seasoned private fund compliance experts comprised of former SEC regulators and CCOs, each with 15+ years’ experience
- Access to our secure, encrypted project management system