Fund formation can be very costly for new managers. OCA can provide efficiencies to a manager by drawing on our deep well of experience in dealing with all service providers.
OCA can assist with all aspects of the establishment of your firm’s compliance program, including:
- SEC Registration - Completion of Form ADV Part 1 and Part 2.
- NFA Registration
- Develop compliance program as required by relevant regulatory agencies
- Provide initial Compliance training for all personnel
- Creation of a compliance manual tailored to the firm’s investment mandates, objectives and trading strategy.
- Create supplemental compliance policies and procedures as needed
- Assist with all marketing documents such as the firm’s presentation, tearsheet and due diligence questionnaire
OCA will help your team structure your entity and establish relationships with service providers:
- Fund Launch
- Structure and register management company
- Work with counsel to craft fund documentation and IMAs
- Evaluate and assist in selection of services providers
- Negotiate terms and agreements with service providers
- Assist in opening of accounts with custodians and prime brokers
- Assist in creation of Pitchbook/Tear sheet/DDQ and other marketing materials