Assure’s compliance team offers extensive knowledge and experience to guide you through the intricacies of ERA (Exempt Reporting Adviser) rules. We register and update your ERA requirements, then set up and maintain your account through the complex Investment Advisor Registration Depository (IARD).
Safeguard your funds and make sure you’re meeting all compliance regulations. Using best-practice policies and procedures, we identify, screen, and report potential indicators of fraud, money laundering, or sanction violations related to your investment funds.
With our 506(c) accreditation verification services, we’ll ensure an accurate and seamless process, review the basis for accreditation, and provide a status letter to investors, managers, and/or portfolio companies as required.
Rule 506 of Regulation D provides two exemptions from registration of an offering of securities with the SEC:
Assure's industry best-practice verification services ensure accurate information collection, a thorough review by a licensed CPA and a prompt status letter. We ensure the verification process integrates seamlessly with deal onboarding.
Blue Sky laws are state laws designed to protect investors from securities (investment) fraud. Each time Assure closes a fund or syndicate, we have to notify the states through statutory filings within 15 days. For example, if a fund is raised with investors from California, Florida, and Massachusetts, we notify those three states within 15 days of the close and pay the per state fee.
Assure’s compliance team offers extensive knowledge and experience to guide you through the intricacies of compliance. We’ll help with on-going compliance training and consulting for your personnel. Our services complement and supplement your Special Purpose Vehicle (SPV) or Fund Administration services and ensures compliance with applicable rules and regulations.