Valsen offers an efficient, integrated and independent solution for Fund compliance. We offer you flexible compliance services, from advisory, compliance policy formulation to providing a qualified person to act as your compliance officer. With either option, you minimize cost and risk since we integrate compliance oversight with regular testing and reporting functions.
Our Fund compliance and regulatory representation services include:
- Periodic compliance risk assessment
- Formulation of policies and procedures and monitor their implementation and effectiveness
- Recommend policy and procedure enhancements
- Oversee compliance with Fund and regulatory AML policies
- Report to fund management and Boards
- Drafting and reviewing regulatory returns and filings
- Review compliance with regulatory disclosure controls and procedures
- Advise on Fund compliance program design
- Periodic customized compliance testing of Fund operations
- Monitoring of legal limits and contractual agreements related to the investment portfolio
- Assessments of eligibility of assets, reviewing of prospectuses
- Comprehensive compliance reporting for boards of directors and investors