Fund Services

Fund Services

Navigating the complex regulatory landscape of securities and fund management, whether for Reg A, Tier 2 offerings, private funds under Regulation D, or employee benefit offerings, can be overwhelming. Our fund services help you mitigate the risk your funds are exposed to by achieving compliance and sound management – giving you peace of mind.

Lax compliance practices put funds at risk

The cost of over-compliance, non-compliance or falling out of good standing can seem insignificant in comparison to the sums of money involved in private investment funds and other investment vehicles but they expose funds to unnecessary risk and scrutiny that can have consequences far beyond a single fund in your portfolio. Most providers of securities compliance services are not delivering high quality service to their customers.

Secure your offerings and Your Reputation with our fund services

Compliance Services for Securities Offerings & Funds That Give Peace of Mind

Regulation A, Tier 2

Agile Legal
State Blue Sky and SEC Securities Compliance

Rule 506(b) and 506(c) of Regulation D Securities

Agile Legal
State Blue Sky and SEC Securities Compliance

Employee Benefit Plans

Agile Legal
State Blue Sky and SEC Securities Compliance

Other Securities Services

Agile Legal
State Blue Sky and SEC Securities Compliance

Corporate Services

Agile Legal

Fund portfolios consist of many issuers and entities that can require additional compliance and governance services. Furthermore, new funds require the formation and maintenance of new corporate entities. Take care of all your obligations with our comprehensive entity management services:

Our Process

Order a Legal Service

Tell us what you need in our quick and easy order form

Follow Up Call

Our experienced team will align our services to your requirements

Safeguard Your Success

You get the expert legal services needed to meet your business goals

Fund Services and Securities Compliance Support

Your funds need to stay in good standing, but securities compliance should not create unnecessary bills or expose you to scrutiny that could have been avoided. Use our integrated fund services for Blue Sky compliance of securities offerings and private funds to ensure they remain in compliance with federal and state obligations. Our fund specialists monitor sales data and state regulatory changes to keep funds in compliance.