Private funds are facing increased regulatory scrutiny and risk. As a result, private fund managers must devote more time and resources to compliance issues than ever before. Regulatory changes are affecting the most important asset of a private fund: its people. There is a greater demand for new staffing skills to meet the growing compliance challenges. Our team at Alaric can help you fill that gap.

We offer a wide range of customized compliance solutions to help private fund managers understand and navigate the regulatory environment. Our clients include: private equity firms, hedge funds, fund of funds, real estate funds and family offices.

How We Can Help

The Alaric Compliance team has the depth of experience and skills to offer private fund managers a broad range of compliance services. These range from consulting services to help your firm understand the relevance of new legislation and regulations to your operations, to providing an independent and experienced Chief Compliance Officer (CCO). Our independent CCOs provide the assurance of a transparent compliance program that is sheltered from undue influence or incentive-based structures.

Services

Full Outsourced Chief Compliance Officer Function


New Funds and Start Ups

  • SEC Registration Services
  • Gap Analysis and Risk Assessments
  • Compliance Policy, Procedure and Process Development
  • Code of Ethics Development
  • Compliance Calendar and Testing Program Development
  • Compliance Orientation and Training

Ongoing Compliance Program Support Services

  • Form ADV Part 1 and ADV Part 2A and 2B Revisions and Updates
  • Compliance Program Monitoring and Testing
  • Code of Ethics Administration, including Personal Trading Reporting and Review Software
  • Compliance Training

Examinations and Reviews

  • Regulatory Examination Support and Deficiency Response
  • Mock SEC Examinations
  • Rule 206 (4)-7 Annual Compliance Reviews
  • Focused Reviews
  • Compliance Program Reviews
  • Risk Assessments

Other related compliance consulting

Although Private Funds are exempt from registration by the Investment Company Act under Sections 3C7or 3C1 or as an offshore fund, those exemptions have certain requirements that need to be complied with, such as PPM disclosure, and having your ADV Part II tick and tie with the PPM.”
- Guy F. Talarico, CEO & Founder, Alaric Compliance Services

Related News & Alerts

  • Securities Enforcement Forum West 2016 Keynote Address: Private Equity Enforcement. > READ MORE
  • OCIE National Examination Program Priorities 2017 > READ MORE
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