Compliance solutions for New Investment Advisor, Hedge Fund or Private Equity Funds
include:
• Assist with the formation of your investment adviser firm
• Explain the basic registration process for SEC Registration or Exempt Reporting
Advisors (ERA)
• IARD Administration
• Facilitate payment of all registration, licensing, and system user fees
• Assist with Form ADV Part 1 and 2
• Prepare Form U-4 if required
• Uploading the required documents through the IARD system
• Advise on any additional documentation required by applicable state regulations
• Assess new business developments, potential conflicts of interest, and risk management
considerations
• Register principals, officers, and adviser representatives as necessary
• Complete all required notice filings
• Act as liaison with the SEC or state securities regulators during inspections
• Draft policies and procedures in conformance with Rule 206(4)-7 and/or state
rules and regulations
• Conduct an annual review, gap analysis and risk assessment
• Develop a Compliance Manual and Code of Ethics customized to your business
• Provide a compliance calendar tailored to your compliance program
RCSI provides practical compliance solutions to y
our everyday compliance needs.
Our team is made up of former Chief Compliance Officers who have front line experience
with SEC exams and NFA inspections.
As former CCOs, we know how to partner with the business side with our practical
experience. We work closely with the dually hatted CFO/COO who is also wearing the
the CCO hat. RCSI will assist in building a compliance program tailored to your
firm’s needs.
