Registered Investment Funds

We provide a comprehensive suite of services, including SEC and NFA registration requirements applicable to RIC advisers and sub-advisers, the initial Section 15(c) application process and annual renewal process to be approved as an investment adviser for RICs, and ongoing compliance requirements, including Investment Company Act regulatory and compliance procedures, reports and filings.

If you are already an adviser or sub-adviser to one or more RICs, we will assist in reviewing your compliance manual, code of ethics, business continuity plan, cybersecurity policy, and registration documents and disclosures. We will assist with updating you policies, procedures and disclosures to satisfy new regulatory requirements and to make compliance more efficient and effective.

We have extensive experience with regulatory audits by the SEC, FINRA and NFA and will work with you to prepare you for an audit, respond to inquiry and/or resolve and mitigate any potential violation or sanction.