Compliance

Overview

We support the needs of your Compliance reporting by providing innovative and practical solutions. We help you with the data aggregation and reporting to manage the regulatory process.

Blog Post Image

Core Services

  • Review investor subscription agreements and supporting documents from compliance perspective
  • Process subscriptions / contributions and redemptions / withdrawals in accordance with the fund offering documents
  • Facilitate the transfer of subscription / contribution monies to the fund’s prime broker account and also arrange payment for authorized redemptions / withdrawals in compliance with policies
  • Report to investors on a periodic basis regarding trade confirmations and statements
  • Compliance Calendar
  • Code of Ethics
  • Audit Support
  • Compliance Manuals & Revisions
Top