SEC & State Registration
Our experienced compliance professionals meticulously prepare your registration application, working closely with you and the SEC (or State) to ensure the successful and timely registration of your firm.
Support for New Fund Managers
NCS Regulatory Compliance provides registration and compliance programs for Investment Advisers that manage Private Funds (private equity, hedge, private real estate, and/or liquidity funds) and Registered Investment Companies. Our team understands your business and helps you remain compliant with ever-changing regulatory requirements.
NCS Regulatory Compliance offers fund managers three programs to ensure that compliance requirements are met and new regulations are adhered to immediately upon release.
Disclosures & Recordkeeping
Our team of experienced professionals helps you establish effective recordkeeping procedures relevant to your audits, reviews, financial statements, and more. Compliance and disclosure interpretation by our experts ensures compliance.
NCS Regulatory Compliance will ensure that you are in compliance with regulatory reporting requirements including preparing and filing Form ADV and Form PF on a timely basis.
Cybersecurity Compliance Program
NCS Regulatory Compliance works with you to develop a cybersecurity program that fits your business, complies with SEC guidance, and is consistent with industry best practices.
Customized Compliance Calendars
We prepare your customized compliance policies and procedures manual specifically tailored to your operations, addressing the unique conflicts and risks inherent in managing a private equity or hedge fund, including:
- Valuation Committee
- Portfolio Management & Investment Committee
- Advertising, Marketing & Social Media
- Capital Raising & Solicitation
- Custody, Annual Audits & Surprise Exams
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