Real Estate Funds
Real Estate Fund Compliance Services
Vigilant is an Award Winning and Industry Leading Compliance Firm that continues to remain Independent and Privately Held delivering Clients with end to end Solutions that they can trust. Vigilant’s compliance professionals have extensive experience with various forms of Real Estate Funds. We are well versed in the compliance requirements and risks specific to managing Real Estate Funds and have the following suite of Compliance Solutions below for this specific Fund Structure.
Vigilant’s Suite of Real Estate Fund Compliance Solutions
- Full Service Compliance Support to in-house CCO
- Utilize a staff of compliance experts without building a cost center
- Vigilant, under the direction of the in-house CCO will perform all SEC compliance related obligations
- Including but not limited to, Annual Rule 206(4)-7 Report, Risk Assessment Matrix, Compliance Calendar Management, Key Vendor Due Diligence, Regulatory Filings, Code of Ethics & Personal Trading Management, Compliance Training, Cybersecurity Assistance, etc.
- Outsourced CCO
- Provides expertise to firms with limited resources and/or in-house expertise
- Specialized Compliance Consulting Services is another service model of Vigilant that is tailored to support firms on their targeted needs throughout their Compliance Program.
- Industry Best Practice Reviews of Private Equity Compliance Programs
- Mock SEC Examinations
- Mock SEC Interviews
- Tailored SEC Document Request Lists
- Formal Written Reports Evidencing such Reviews and Recommendations
- Web CRD, IARD, and Edgar Management
- SEC Registration & Exempt Reporting Adviser Registration (ERA)
- Form ADV Annual & Updating Amendments
- Form PF Filings
- Section 13 Filings (e.g., 13F, 13H, 13D, 13G), as applicable
- Select Additional Filings
- CFTC Exemptions
- Assistance and/or Management of SEC Examinations
- Supporting Documentation Compilation
- Supporting Documentation Review
- Drafting and Review of Submittal Letter
- Interview Preparation
- Participation in Regulatory Examination Calls/Meetings
- Creation of Day 1 SEC Presentation
- Expert Consultant in SEC Enforcement Actions
- Security Breach Response Assistance
- In-Person & Select Electronic Training
- Compliance Training
- Code of Ethics, Conflicts of Interest and Personal Trading Training
- Insider Trading and MNPI Training
- Online Cybersecurity Training Platform
- Automated Phishing Tests
- Industry “Hot Topic” Trainings (e.g., Expense & Investment Allocation, Relevant SEC Enforcement Actions, etc.)
Our professionals have experience in serving as Chief Compliance Officers (CCO) and providing full-service compliance support to in-house CCOs for RIAs focused on various aspects of real estate investing including, but not limited to:
- Private and Public Real Estate Lending Funds
- Private Equity Real Estate Funds
- Real Estate Joint Ventures
- Vertically integrated Commercial Real Estate Advisers
- Investment Advisers to ERISA and Government Pension Funds
- Special Opportunities Real Estate Investment Funds
Key Compliance Considerations for Outsourced Compliance
When partnering with Vigilant, we allow Real Estate Advisers to focus on managing their Fund(s), growing their Limited Partner (“LP”) base, and other core competencies.
Our team of experienced compliance professionals have extensive experience in managing and supporting the compliance programs of Real Estate Advisers and are prepared to provide you assistance in a wide array of Real Estate Compliance Services.
Common questions we see asked by firms considering outsourcing:
- Do we have enough internal resources or the right external resources in place?
- Can we keep up with the regulatory requirements not only today, but in the future, as we grow and our regulatory obligations increase?
If your firm is eligible or required to register with the SEC, you are required to adopt and implement certain policies and procedures.
Prior to registration, your firm’s compliance policies and procedures must meet certain Investment Advisers Act guidelines and/or regulatory guidance. There is no grace period following registration.
Our compliance consultants can:
- Develop and implement written compliance policy and procedures that meet or exceed current rules and regulations. Our experienced consultants will review your business plan or existing operation and devise a strategy that assures your commitment to secure, ethical and legal practices.
- Review and amend your existing policies and procedures to meet Adviser Act requirements. It is in the best interests of your clients and your firm that your business encourages a culture where compliance forms the foundation of your reputation. Our consultants will review your existing policies and procedures, identify potential problems and design the policies and procedures that will help your business grow, safely and securely.
- Assist and manage Code of Ethics requirements.
- Conduct mock SEC exams. Assure thorough preparation for your upcoming SEC exam with training from Vigilant, including mock SEC exams that measure retention and performance.
- Review your marketing, advertising and communications materials. Registered Investment Advisers must adhere to strict regulations when communicating with clients and the public. Ask us to review your marketing and communications strategies to assure your compliance with the Act.
- Prepare and submit accurate filings. Vigilant prepares, reviews and files Form ADV, Form PF, 13F, 13G and 13H forms on behalf of our clients.
- Investigate past practices and transactions. Vigilant provides thorough forensic compliance solutions.
- Complete 206(4)-7 Compliance Report.
Contact Vigilant
With team members in New York, Philadelphia, Boston, Texas, Metro Washington, D.C., Pittsburgh, Tennessee, Georgia, Florida and around the nation, Vigilant is well positioned to help your business create and sustain an effective Private Equity Compliance Program.
For over 20 years, Vigilant has been a leader among regulatory compliance consulting firms; uniting regulatory compliance and financial expertise paving the way to the Market for our clients.
Contact Vigilant for a complimentary consultation at 1-888-229-1855.
