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 all relevant SEC rules, 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 and side letters for compliance
- Review current marketing materials for compliance with the Marketing 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
- Conduct a 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 video meetings, phone discussions and secure messaging
- 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
Contact us to make the smooth transition to your FrontLine Edge program that will be structured to precisely meet your private funds compliance needs.