Services

Compliance

Compliance services by industry experts

Many organizations outsource their compliance needs to meet the ever-growing compliance and regulatory requirements inherent in investment fund ownership.

Compliance services are critical for private equity funds to ensure that they comply with regulations and legal requirements, manage risk effectively, and operate in a responsible and sustainable manner.  Private equity funds operate in a heavily regulated industry, and non-compliance with regulations can result in significant fines and legal penalties. Outsourcing compliance services help private equity funds stay up-to-date with the latest regulations and ensure that they are operating within legal boundaries.

With experts in both U.S. and European compliance, Gen II has the resources and expertise to keep your organization in top form. From Know Your Client (KYC) to Anti-Money Laundering Services (AML) to investor subscription agreements and SEC filing requirements, we can help your organization stay at the forefront of reporting and compliance issues leaving you to spend energy on client relations and investment strategies.

Tailored services to meet your needs

Investor groups face a broad scope of financial reporting and compliance requirements. By outsourcing your compliance mandates to a third-party expert like Gen II, you can rest easy knowing that compliance deadlines and requirements will be met, and ongoing changes and updates will be incorporated seamlessly for both you and your investors.

Leveraging Gen II’s extensive U.S. and European compliance knowledge is essential to your value chain. We keep up to date of new regulations and interpretations so clients can focus on their core competencies — sourcing investments, improving portfolio companies and internal operations, and securing profitable exits. Gen II’s Compliance Services include:

  • Review of investor subscription agreements
  • FATCA support and reporting services
  • CRS support and reporting services
  • SEC Form PF compliance
  • SEC examination assistance
  • AML/KYC/FATCA/CRS Compliance
  • Maintenance and update of Register of Beneficial Owners
  • Provision of Responsable du contrôle durespect des obligations
  • Preparation and filing of Annex IV reporting
  • Preparation and filing of reports to Luxembourg Central Bank and regulatory reports to CSSF
  • Support regulatory reporting (e.g., Form PF, Form ADV, Form 13H)
  • Coordination with other service providers

Minimize risk with a trusted partner

Compliance failures can damage a private equity fund's reputation and lead to a loss of investor confidence, so Gen II actively manages compliance risk and ensures that your organization passes a compliance audit should that occur as part of our Compliance Services offered.

Any potential shortcomings, blind spots, or violations are referred to the client for solutions or to coordinate compliance training if required.

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