Private Funds (Hedge Funds)

Outsourced compliance solutions that ease operational burdens and allow you to focus on fund objectives

Delivering Compliance Solutions to Private Funds

To manage complex regulatory obligations, managers of private funds and hedge funds need specialized expertise and a framework for affordable implementation. CWI provides comprehensive solutions to meet the needed oversight of a firm’s operations, tailored to the resources and needs of the business.

Some of Our Most Frequent Private Funds services

Private Funds Compliance Program Administration

Create or review fund disclosure documents

SEC or State Registration

Annual Internal Review

Policies and Procedures Development and Updating

Form D and Form PF filings

Choose Your Path

Since you can change the service level at any time there is no pressure on getting it right at the start, but there are two approaches for clients to start with us:

Customized Outsourced Service Level Builder

When firms have a basic idea of what they want to outsource or have a budget number in mind, one phone call is all it takes to begin working with a ComplianceWorks.  We discuss options and decide how to prioritize the typical tasks for a firm like yours. There may be very high-value tasks or urgent tasks based on the high degree of regulatory risk. As you move beyond those tasks, you can then spend your time doing things that will generate revenue for your firm.

Firm Review

For firms that want to are lacking experience in compliance and/or don’t have time to perform tasks, starting with an internal review of the entire compliance program is often quite revealing and helpful. The typical review is $4000 with a discounted price if a monthly engagement soon follows. The weaknesses divulged in such a review are often a great starting point for what to assign to ComplianceWorks.

ComplianceWork Insights

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A Few Words from some of our Clients

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To Our Valued Clients:

Due to the severity of what we are facing, ComplianceWorks has decided to take proactive action to honor our commitment to truly being a partner with our clients.  We understand that falling short on compliance obligations in reaction to this difficult environment would only further increase risk to our clients.  Thus, effective April 1, you will be given a temporary [10%-25%] reduction in the monthly ComplianceWorks’ fee without a reduction in service or tasks outsourced to ComplianceWorks.  This puts the cost of our services more in-line with the uncertainty of firm financial conditions and puts our firms in the same boat as we all work toward recovery.  We will re-evaluate the discount every 3 months to determine then continuance and the amount of reduction going forward. 

Please understand that the reduction in your fee is not permanent and that at some point in the future we will return to the normal contracted price for the services provided.

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