www.fundscounsel.com
New York City                                         Westchester
Serving the alternative investment funds industry
COMPLIANCE

We provide Registered Investment Advisor (RIA) compliance advisory and
management services to our fund clients.  With the change in the regulatory
regime occasioned by the Dodd-Frank Act, beginning in 2012, many newly
registered fund managers had to face the challenge of building a complete
compliance function to satisfy the requirements of the 1940 Investment
Advisers Act and a large (and growing) number of new regulations.  

For those fund managers who elect to hire a Chief Compliance Officer
(“CCO”) and create an internal compliance department we offer a variety of
discrete consulting services to assist in the establishment and maintenance
of a robust compliance regime and to prepare for SEC examinations and
audits.  These include:
Review / preparation of:

          - Compliance Manual
          - Detection and prevention of money laundering policies
             and procedures
          - Code of Ethics
          - Personal trading policies and procedures
          - Insider trading prevention policies and procedures
          - Other policies, forms, and procedures

Mock SEC exam / audit preparation
Review / preparation of ADV Form, Form PF, BEA filings and
amendments
Establishment of a master calendar for regulatory filings
Review of marketing materials
Investor due diligence and AML clearance
Compliance program review
Annual AML audit
Annual FCPA audit
Annual privacy notices
Employee training

Copyright (c) Frenkel Sukhman LLP 2013
750 Third Avenue
9th Floor
New York, NY 10017
212-286-4000
212-202-6285 fax
FRENKEL SUKHMAN LLP
520 White Plains Road
Suite 500
Tarrytown, NY 10591
914-739-1600
914-206-4084 fax
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