Develop and implement a sound, internally controlled compliance environment supporting all regulatory requirements.
We have extensive experience in fund formation, investor negotiations, vendor contracts, and day-to-day fund operations. We can meet the legal needs of investment fund sponsors in various transactions, from complex structuring to revisions and limited partner commitments.
Perform comprehensive Compliance Risk Assessment and Matrix.
Author Compliance Manual inclusive of integral documentation i.e. Code of Ethics
Prepare worksheets/checklists required by compliance program, relevant regulatory and industry requirements
Develop compliance training programs as required
Author full BCP inclusive of Disaster Recovery and mitigation processes
Develop and institute BCP processes and testing schedules
Establish all SEC required reporting and establish SEC calendar
Prepare and file all required regulatory filings, i.e. Form ADV
Actively test and measure compliance framework
Develop actionable reporting and risk mitigation
Coordinate with fund CCO and/ or Legal to coordinate engagements
Completion of all required statutory filings, i.e. NFA, State-specific filings
Actively manage compliance function through monitoring standards
Establish internal control processes, escalation and resolution of breaks
Ensure all investor facing information is fully vetted and proper
Actively manage updates and vet client facing correspondence
Windstream offers a service whereby we “sign” as CCO
Provide all functions of a CCO
Best suited for “smaller” funds who are transitioning to an in-house CCO
60 East 42nd Street
Suite 4600
New York, NY 10165
.png)
