February 19, 2017

Hedge Funds and Private Funds

As investors continue to watch closely hedge fund performance and fees the regulatory challenges facing hedge funds have intensified dramatically.

Hedge funds used to be far less regulated.  However, with the implementation of new regulations and heightened scrutiny by the SEC of the adequacy of internal controls, conflicts of interest, and reporting obligations, hedge funds — both U.S. and global — have been placed firmly in the spotlight.

As a result, hedge fund managers have had to focus even more intently on regulatory and compliance requirements while concentrating on the day-to-day business of managing assets.

And as hedge funds seek to adapt to new regulations and investor due diligence, technology will play an important role in helping them to comply and compete.  So too will the opportunity to outsource their compliance needs.  While overall responsibility for compliance will remain with the hedge fund or private fund adviser itself, the right outsourcing partner can be of critical value.

Whether you are an established traditional asset manager looking for due diligence review of your subadvisors or a hedge fund or private fund manager facing the previously absent challenge of creating an effective compliance program, the SEC-FINRA COMPLIANCE Consulting Group can assist you in keeping abreast of an increasingly turbulent regulatory climate while allowing you to focus on your core business.

Here are some of the specifics services we offer Hedge Funds and Private Funds:

  • Analyze your firm’s Operational and Regulatory Risk Profile
  • Create, Implement, and Test Compliance and Operational Risk Management Programs
  • Develop Policies and Procedures
  • Review fund raising, capital introduction, and solicitation programs
  • Provide general Compliance support
  • Review Adviser, Subadviser, and Service Provider Compliance and Risk Management functions

But we offer much more — we assist our clients in making informed choices about compliance and risk management strategies and programs.  Choices that are cost-effective and produce good business and compliance results.

The SEC-FINRA COMPLIANCE Consulting Group has offices in the New York metropolitan area and Florida and Consultants located throughout the United States.  For more information on the types of compliance, regulatory and risk management products and consulting services we provide and how we can be of assistance to you and your firm, please contact us today, either by telephone (800-SEC-9906) or email, for a free consultation.