Services

Compliance

Compliance services by industry experts

To meet the ever-growing compliance and regulatory requirements inherent in investment fund ownership, many organizations have added the role of a compliance officer to round out their leadership team.

As an alternative, Gen II offers compliance services that fulfill that same role without adding internal human capital. Far more cost-effective, we can keep your group or company operating according to the industry-accepted standards as required by various agencies and organizations, as well as being expected by investors.

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 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.

  • 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

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As part of our Compliance Services offered, Gen II actively manages compliance risk and ensures that your organization passes a compliance audit should that occur. Gen II can implement and oversee your policies and procedures to ensure your investment fund is complying with all applicable laws and regulations.

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