´╗┐Fund Manager Compliance



PartnerProgram Provides Ongoing Compliance Support

For registered investment advisers interested in ongoing compliance support, Regulatory Compliance offers three programs that can help ensure that advisory clients stay on track with existing compliance requirements and new regulations.

PartnerPro provides the essential compliance tools and resources, including a “go-to” contact who can address your firm’s specific questions, information on new regulations, and monthly tools to assist with compliance testing.

PartnerPlus includes all of the services available in PartnerPro as well as a structured, comprehensive compliance program designed to proactively address all of your firm’s compliance needs.

PartnerElite is a highly customized compliance program tailored to the compliance and operational aspects of your firm and is designed to fit the specific needs of your
firm’s business.

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Comprehensive Private Fund Manager Services

Regulatory Compliance provides registration and compliance programs for private equity, hedge fund, private real estate, and liquidity fund managers. Over the past year, we have successfully navigated many private fund advisers through SEC presence examinations in this new regulatory landscape. Regulatory Compliance understands your business and can help your firm remain compliant with ever-changing regulatory requirements, allowing you to focus on raising capital and growing your private fund business.

SEC Registration

Registering your firm as an investment adviser can be a complex and time-consuming process. As experts in SEC registration we know what to expect. Our experienced professionals will prepare your application, working closely with you and the SEC to ensure the successful and timely registration of your firm.

Support for New Investment Adviser Applicants

From your investment adviser firm’s registration to its ongoing operation, the knowledgeable investment adviser compliance professionals at Regulatory Compliance can provide targeted or continuing compliance support.

  • Total registration support, from CRD/IARD assistance to registration approval, we assist step by step
  • Written supervisory procedures customized to match your firm’s business model
  • Completion or review of ADV Part 1 and ADV Part 2A and Part 2B
  • Ongoing compliance support through our PartnerProgram
  • General compliance consulting

Customized Compliance Manual & Calendar

Regulatory Compliance prepares for each adviser a customized compliance policies and procedures manual that is specifically tailored to the firm’s operations, meets SEC requirements, and addresses the unique conflicts and risks inherent in managing a private equity or hedge fund, including:

  • Valuation Committee
  • Portfolio Management & Investment Committee
  • Advertising, Marketing & Social Media
  • Capital raising & Solicitation
  • Custody, Annual Audits & Surprise Exams

Examinations and Testing

Discover if you have compliance issues before an examiner arrives. Our investment adviser compliance experts conduct thorough exams and testing to uncover potential problems, so your firm can resolve issues before a regulatory examination.

  • SEC Mock Exams
  • Compliance & Risk Assessments
  • 206(4)-7 Annual Compliance Testing
  • Books and records examinations

Comprehensive Compliance Consulting

• Customized WSP manual • CCO & staff training
• Compliance consulting • ADV preparation and filing
• Risk assessment • SEC Exam preparation
• Mock SEC examinations • Form 13F filing
• Advertising review • Form PF filing
• 206(4)-7 testing • Outsource CCO
• Customized compliance calendar • Due diligence reviews
• JOBS Act and general    solicitation consulting


You don’t know what you don’t know.
We’re here to help.

To learn more about any of our compliance services, click here or call toll-free (888) Reg-Comp (888) 734-2667.