Private Equity/Venture Capital Compliance Solutions
We provide high-touch SEC registration services and regulatory compliance solutions that guide your investment advisory practices, including providing comprehensive administrative support.
We perform a complete regulatory risk assessment of your business and generate your compliance manual containing all applicable compliance policies and procedures.
SEC registration services
Private equity and venture capital firms that, for compensation, engage in the business of advising investment vehicles on the value of purchasing or selling securities of privately held companies for compensation are required to register with the SEC in the US.
Venture capital regulatory compliance services
If you fulfil the classifications of a venture capital firm, our team will walk you through all your regulatory obligations including your Form ADV ERA filing.
Our services to venture capital advisers include assuring that your business remains within the venture capital fund exemption including adherence to not exceeding the 20% basket for non-qualifying investments, borrowing, and redemption limitations to ensure that you remain within the exemption as necessary.
How Waystone Compliance Solutions can help
Our experienced US compliance solutions team can walk you through all regulatory obligations, providing personalised guidance to keep your business aligned with SEC requirements. From initial registration to ongoing compliance, we’re here to support you every step of the way.