Fund and Entity Compliance Services

Fund Compliance Services

FCS has developed integrated services and technology for Blue Sky compliance of private funds to ensure funds remain in compliance with federal and state obligations. Our fund specialist monitor sales data as well as state regulatory changes keeping funds current. All fund actions, exemption assignment and corresponding statutes, Filings, documents and events are all posted and available 24/7 on FundComply our client fund reporting portal.

Renew/amend Form D Filings

Blue Sky administration

  • Exemption analysis
  • Monitoring sales data
  • Prepare & execute new state Filings
  • Maintain annual renewals
  • Monitor states statutes for regulatory updates
  • Report all pending & completed updates to FundComply portal

SEC Reporting Services

  • Registration Statements: S-1, S-8, F-1 Form 10 etc.
  • Annual Reports: 10k. 20-F etc.
  • Quarterly Reports: 10Q etc. 8k/6k
  • Proxy Statements
  • Ownership Forms: 13D, 13G
  • Recently Added: BEA Filings, initial Filings and annual renewals

Entity Management

Fund portfolios consist of many issuers and entities that require compliance and governance services. In addition, new funds require the formation and maintenance of new entities. FCS provides entity management services through its team of senior corporate paralegals and legal professionals.

  • Minute book maintenance
  • Prepare annual consents/minutes
  • Manage stock ledger
  • Prepare stock certificates
  • Update/amend Operating Agreements
  • Registered agent services
  • Prepare and file annual reports