Regulatory & Compliance Services
Comprehensive regulatory and compliance services that empower your fund.
Howard Nurtman
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.
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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.Â
- On-Site Inspections: We conduct on-site inspections of the fund’s operations to assess compliance with regulatory policies and procedures.Â
- Education & Training: We provide education and training to the fund company’s staff on regulatory compliance topics. Â
- 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.Â
- Form Completion: We assist the fund in completing all necessary forms required by regulatory authorities. Â
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
Vince Calcagno
Howard Nurtman
Explore Our Other Services
Fund Solutions
Outsourced Fund Services
We provide outsourced C-Suite partners to PE, VC, and Real Estate firms. Our seasoned executives lead portfolio reporting, fund accounting, operations, and compliance, while overseeing fund administration, investor services, coordination with external vendors, and more.
Fund Compliance
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.
Fund Administration
We set up, maintain and review your business’s fund accounting, financial operational and investor reporting, and develop, maintain and update valuation policies and procedures.
Tax Services
We provide professional tax consulting, tax return preparation, and comprehensive assistance with business formations including entity selection and IRS audits.
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.
