Our consulting services for investment managers and registered funds can be categorized into four main areas:
AVOID REGULATORY PITFALLS Strategic Advisory Services
Investment managers are subject to a regulatory and compliance regime filled with gray areas and landmines.
The Iron Road Partners team has assisted some of the world’s largest and most sophisticated investment managers with their most vexing compliance and regulatory issues. We were at the forefront of regulatory compliance while working at the U.S. Securities and Exchange Commission, and we bring that perspective to our work. Our rigorous consulting process emphasizes developing a deep understanding of your business so we can make appropriate recommendations based on the specific risks you are facing and their potential impact.
Services include:
- Mock audits and compliance assessments
- Policy and procedure design and reengineering
- Conflict of interest review and mitigation
- Regulatory examination preparation including Day One deck creation
- M&A due diligence
- Post-merger integration of investment managers
- Alternative data and data governance reviews
- Operational due diligence
- Compliance program cost analyses, management and optimization
Navigating Tight Regulations Registered & Regulated Fund Services
Alternative products are rapidly converging with registered/regulated funds. This trend shows no signs of abating and will continue to accelerate next year and beyond.
Iron Road Partners’ expertise in the Investment Company Act of 1940, coupled with our deep background in alternative strategies, uniquely positions us as a partner to help you develop, test and enhance interval fund, tender-offer fund and business development company compliance programs in this highly regulated space.
Services include:
- 38a-1 compliance assessments
- Mock SEC examinations
- Compliance program development
- Compliance with co-investment and multi-class exemptive orders
- Policy and procedure review, redesign and implementation
- Marketing material reviews
- Targeted testing
- Compliance with fund valuation, liquidity and derivatives rules
- Soft dollar program design and review
- Regulatory filings design and support
- Design and review of board reporting
- 3rd party service provider and 15(c) due diligence and support
AUGMENTING YOUR EXPERTISE Ongoing Compliance Support
Iron Road Partners enables chief compliance officers to increase efficiency, reduce costs and mitigate risks by helping them manage their compliance programs.
Our comprehensive knowledge of industry practices and insight into regulatory trends, together with our focus on understanding your business, make us an effective partner to supplement your own expertise.
Services include:
- New adviser registration with the SEC
- Routine testing and annual 206(4)-7 compliance review completion
- Regulatory filings
- Disclosure support
- NFA compliance
- Code of ethics support
- Compliance calendar design and management
- Risk matrix development and management
- Expert network and corporate access chaperoning
- Electronic communication surveillance
- Compliance training
- Core compliance support
EFFICIENT, HIGH-QUALITY ANALYSIS Regulatory Marketing & Advertising Reviews
Meeting tight timelines and mitigating regulatory risk requires partnership.
Our experience with sophisticated clients, complex investment products and exacting regulators allows us to provide efficient, high-quality reviews and analyses. Our proprietary technology enables us to meet tight timelines and reduce costs.
Services include:
- Ongoing marketing compliance reviews
- Disclosure drafting
- Footnote/Endnote database development and maintenance
- Track record calculation, verification and performance portability
- Marketing and advertising material assessment
- Valuation, benchmark usage and performance testing
- Substantiation reviews
- FINRA and SEC Reviews
Industry Insights Our Latest Research
Explore our latest thinking on the issues that matter most in risk, compliance and regulation.
Contact Us Need Compliance Support?
Whether you’re looking for strategic advisory services, marketing and advertising reviews, or ongoing compliance support, leverage our regulatory expertise to minimize risk while you stay focused on the core of your business.
