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Increased Regulation. Robust compliance solutions.

2022 was considered the year of regulation.
The SEC nearly doubled the size of its enforcement team and filed 760 enforcement actions (+9% yoy). There was a global increase in proposed reforms, including regulation of digital assets and obligations related to Anti-Money Laundering (“AML”) and the Marketing Rule (formerly Rule 206(4)-1 and Cash Solicitation Rule) officially went into effect. The Commission under Chairman Gensler and Enforcement Director Grewal has increased its aggressive rhetoric, threatening ever higher penalties and requiring admissions of liability.

2023 will likely be another aggressive year of regulation.

Private fund advisers including hedge fund managers, private equity fund managers, venture capital fund managers, credit fund managers and secondaries transactions, among others, should navigate the regulatory environment with precision and deploy strong compliance programs and cultures throughout the organization. Our clients rely on our expertise to develop and help implement regulatory policy; thereby mitigating risk, reducing costs, and gaining confidence in their compliance status.

Supporting the growth of Lower and Middle-Market firms.

RegComp serves a number of lower and middle-market organizations, including private equity, venture capital, real estate and hedge fund managers, fund of funds, and secondaries, as well as traditional registered investment advisers advising pension funds, separately managed accounts, wrap accounts, mutual funds, exchange traded funds and corporate investors, in addition to internet advisers.

The entities we serve are classified as: Registered Investment Adviser, Registered Investment Company, Exempt Reporting Adviser, State Registered Adviser and Internet Advisers, otherwise known as Robo Advisers, and are regulated under the U.S. Securities and Exchange Commission pursuant to the Investment Advisers Act of 1940, as amended, Financial Industry Regulatory Authority, various state security regulatory boards, Internal Revenue Service, and National Futures Association, among others.

We offer clients a simple cost effective, outsourced, ongoing compliance solution to mitigate any potential compliance deficiencies.

Additionally, we assist clients on an a la cart basis on issues under the federal securities laws, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940 as well as various other regulations affecting investment managers, funds and financial product sponsors. 

We provide our Investment Adviser clients the most innovative offerings that help drive their business forward.

Customized Policies and Procedures
Tailored Compliance Calendar and Testing Matrix
Risk Assessment and Gap Analysis
State and Federal Filings (Blue Sky, FormD, Form 13F, 13H, etc.)
Comprehensive Form ADV (Part 1A, 2A, 2B,3, Supplemental Wrap Brochure)
State Notice Filing Analysis and Registration
Code of Ethics Management
Licensing and registration
Cybersecurity Policies and Procedures
Business Continuity Plan / Disaster Recovery
Routine Offsite Compliance Testing and Results Reporting
Annual Conflicts Inventory
Annual Review under Rule 206 (4) - 7
Regulatory Exam Support (FINRA, SEC, state regulators)
Political Contributions Review
OFAC (Watchlist) Checks
Accredited Investor Verification
FCPA Policies and Procedures and Governance
Advertising/Marketing Material/Investor Deck Review
Electronic Communications Review
Third Party Vendor Reviews and Due Diligence
Due Diligence Questionnaires (DDQ)
Compliance Reminders for Staff
Targeted Compliance Training

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