Hedge Fund Compliance

Are you a small or midsize RIA without dedicated compliance support?  If so, let COS address your related compliance obligations so you can focus on business execution.

At a minimum, COS can efficiently address annual regulatory filings associated with your hedge fund activities.

In addition to preparing and filing annual disclosure requirements, COS can:

  • Assess recent Regulatory amendments to your firm’s activities;
  • Evaluate or prepare compliance procedures and code of ethics;
  • Evaluate compliance with your firm’s annual and liquidation audit requirements;
  •  Evaluate and facilitate filing requirements, as applicable for private funds under Form PF
  • Review of your firm’s obligations as custodian as defined under recent SEC revisions;
  •  Determine if your private funds subject to new disclosure requirements;
  • Creation of a new private fund identification number for applicable private funds;
  • Facilitate new fund disclosure requirements in Forms ADV Part 1 and Part IIA;
  • Assist the Firm with its calculation of assets under management;
  • Prepare and file Form ADV Part 1;
  • Disclosures, preparation and assistance with filing of ADV Part IIA;
  • Disclosures, preparation and assistance with filing of ADV Part IIB
  • Mock SEC exams
    • Disclosures
    • Conflicts of interest
    • Allocation practices
    • Best Execution
    • Soft Dollars
    • Valuation practices
    • Compliance with Reg D offering
    • Books and records
    • SEC or State exam preparation
    • Training

Call COS today to discuss a cost effective approach to your compliance needs.