Private Equity

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Private Equity Registration Requirements

The Dodd-Frank Act requires many private equity fund advisers to register as investment advisers with the SEC and be subject to its oversight. CWI helps private equity firms meet regulatory requirements, from registration to the ongoing administration of monthly compliance tasks, through the creation and implementation of cost-effective compliance programs, specifically designed to address the particular compliance risks private equity and venture capital firms face.

Some of Our Most Frequent Private Equity services

Private Equity Compliance Program Administration

SEC Registration

Annual Internal Review

Policies and Procedures Development and Updating

Cyber Security Services

Deal/Transaction Documentation Guidance

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 focus on what they do not do well or have time to perform, starting with an internal review of the entire compliance program is often quite revealing and helpful. The typical review is $2500 and may be discounted 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

A Few Words from some of our Clients

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