Regulatory & Compliance Services

Comprehensive regulatory and compliance services that empower your fund.

Meet the Leader

Howard Nurtman

Senior Director, Compliance Services

Howard Nurtman

Linkedin
Fund Solutions - Senior Director, Compliance Services
C-Suite Executive Management, Controller & Support Services, Fund Launch Formation, Regulatory & Compliance Services, Advisory Support Services, ESG Services, Fund Admin & Accounting, Investor Services & Reporting, Finance Services, Portfolio Monitoring
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Helping clients establish robust policies, ensure compliance, and mitigate risks.

Our Approach

We will help you build your regulatory policies and procedures from the ground up, and then provide on-site inspections, education and training for staff, as well as reviewing marketing materials and completing all necessary forms.

Pe

People

People

Our team engages in an in-depth discovery process to understand your business objectives, develop a customized plan, and executes with a focus on quality, consistency, and urgency.

Pr

Process

Process

Our process ensures a systematic and efficient approach, facilitating thorough assessment, planning, and execution.

Te

technology

Technology

Technologies enable advanced data management, automation, and real-time monitoring to enhance accuracy, efficiency, and adherence to regulatory frameworks and compliance standards.

Regulatory & Compliance Service Offerings

Our regulatory and compliance services aim to help our clients establish and maintain robust regulatory policies and procedures, ensure compliance with applicable regulations, and mitigate regulatory risks. Our services include:

  • Regulatory Policy & Procedure Development: We provide our clients with building regulatory policies and procedures from scratch, tailored to the specific regulatory requirements applicable to the company’s operations. 
  • On-Site Inspections: We conduct on-site inspections of the fund’s operations to assess compliance with regulatory policies and procedures. 
  • Education & Training: We provide education and training to the fund company’s staff on regulatory compliance topics.  
  • Materials Review: We review the fund’s marketing materials, such as brochures, presentations, and website content, to ensure compliance with relevant regulations, including advertising and marketing rules set forth by regulatory authorities. 
  • Form Completion: We assist the fund in completing all necessary forms required by regulatory authorities.  

Ready to receive comprehensive support in building your regulatory policies and procedures?

We purposely designed our solutions as a key element to your success.

As a first-time fund, we were able to leverage their expertise as we navigated through fund formation, fundraising, and investor due diligence. E78 allows us to focus more on serving the leaders of our companies.

Meet Our Regulatory & Compliance Team of Experts

Our team of experts has worked with hundreds of funds solving their most complex regulatory needs

Nick Castoria
Managing Director
Meet Nick
Managing Director
Fund Solutions
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Nick Castoria

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Fund Solutions - Managing Director
Nick is a highly accomplished Managing Director of Fund Solutions at E78 Partners, with a proven track record of success in the investment industry. He joined E78 through the acquisition of Agile Fund Solutions LLC, where he was the Founder and COO.
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Vince Calcagno
Executive Managing Director
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Executive Managing Director
Fund Solutions
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Vince Calcagno

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Fund Solutions - Executive Managing Director
Vincent leads our Fund Solutions group and specializes in C-Suite strategic, operational, financial, accounting, tax and compliance consulting for the alternative investments industry, and the investment professionals and family offices who invest in and sponsor private fund products.
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Howard Nurtman
Senior Director, Compliance Services
Meet Howard
Senior Director, Compliance Services
Fund Solutions
See Bio

Howard Nurtman

Linkedin
Fund Solutions - Senior Director, Compliance Services
C-Suite Executive Management, Controller & Support Services, Fund Launch Formation, Regulatory & Compliance Services, Advisory Support Services, ESG Services, Fund Admin & Accounting, Investor Services & Reporting, Finance Services, Portfolio Monitoring
Learn More

Explore Our Other Services

Fund Solutions

Download: CFO Services for Private Equity Funds and their Portfolio Companies

The right people, processes, and systems that make up your fund solution are critical elements to help ensure success. Download this whitepaper to learn more.