Private Fund- Manager Registration Services
SCA consultants are experienced in working with both SEC registered hedge fund, private equity and venture capital fund managers (“Private Fund Managers”) and those managers that are not registered with the SEC.For unregistered Private Fund Managers that are now required to register or have made the decision to voluntarily register, SCA offers the following registration services:
- Conducting an assessment of the Manager’s current compliance infrastructure, which includes an assessment of conflicts of interest and other risks that may affect the firm or its investors;
- Adding or modifying current processes, as necessary, to create a compliance program that meets the requirements of the SEC Compliance Program Rule and industry best practices. The program includes a customized Written Compliance Manual, Code of Ethics and related forms and checklists;
- Preparing and filing the ADV Part I with the SEC and preparing the ADV Part II, which is a required client disclosure document under Rule 204-3 of the Investment Advisers Act of 1940; and
- Preparing and filing registration documents for individuals acting on behalf of the Private Fund Manager with applicable states, if required.
