| www.fundscounsel.com |
| New York City Westchester |
| Serving the alternative investment funds industry |
COMPLIANCE
We provide Registered Investment Advisor (RIA) compliance advisory and
management services to our fund clients. With the change in the regulatory
regime occasioned by the Dodd-Frank Act, beginning in 2012, many newly
registered fund managers had to face the challenge of building a complete
compliance function to satisfy the requirements of the 1940 Investment
Advisers Act and a large (and growing) number of new regulations.
For those fund managers who elect to hire a Chief Compliance Officer
(“CCO”) and create an internal compliance department we offer a variety of
discrete consulting services to assist in the establishment and maintenance
of a robust compliance regime and to prepare for SEC examinations and
audits. These include:
We provide Registered Investment Advisor (RIA) compliance advisory and
management services to our fund clients. With the change in the regulatory
regime occasioned by the Dodd-Frank Act, beginning in 2012, many newly
registered fund managers had to face the challenge of building a complete
compliance function to satisfy the requirements of the 1940 Investment
Advisers Act and a large (and growing) number of new regulations.
For those fund managers who elect to hire a Chief Compliance Officer
(“CCO”) and create an internal compliance department we offer a variety of
discrete consulting services to assist in the establishment and maintenance
of a robust compliance regime and to prepare for SEC examinations and
audits. These include:
 | Review / preparation of: |
- Compliance Manual
- Detection and prevention of money laundering policies
and procedures
- Code of Ethics
- Personal trading policies and procedures
- Insider trading prevention policies and procedures
- Other policies, forms, and procedures
| Mock SEC exam / audit preparation | |
| Review / preparation of ADV Form, Form PF, BEA filings and | |
| amendments | ||
| Establishment of a master calendar for regulatory filings | |
| Review of marketing materials | |
| Investor due diligence and AML clearance | |
| Compliance program review | |
| Annual AML audit | |
| Annual FCPA audit | |
| Annual privacy notices | |
| Employee training | |
Copyright (c) Frenkel Sukhman LLP 2013 |
750 Third Avenue
9th Floor
New York, NY 10017
212-286-4000
212-202-6285 fax
9th Floor
New York, NY 10017
212-286-4000
212-202-6285 fax
FRENKEL SUKHMAN LLP
520 White Plains Road
Suite 500
Tarrytown, NY 10591
914-739-1600
914-206-4084 fax
Suite 500
Tarrytown, NY 10591
914-739-1600
914-206-4084 fax
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