Real Estate Funds
Real Estate Fund Compliance Solutions
Vigilant’s compliance professionals have extensive experience with various forms of Real Estate Funds. 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
Outsourced Real Estate Fund Compliance for CCOs
With the SEC’s proposed Private Fund Rules to enhance private fund investor protection in February 2022, there is an industry wide expectation that there will be an increased focus by the SEC on RIAs to Private Funds.
Additionally, along with the increased focus by the SEC, Advisers to Private Funds and other pooled investment vehicles will be required to adopt and implement new/enhanced compliance policies and procedures.
Do you have enough internal resources or the right external resources in place?
Can you keep up with your regulatory requirements not only today, but in the future, as your regulatory obligations increase?
When partnering with Vigilant, we allow Advisers to focus on managing their business, growing their Limited Partner (“LP”) base, and other core competencies.
Through the following suite of solutions, Vigilant can either manage your entire compliance program or provide you with select support.
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
- 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.)
Vigilant is well versed in the compliance requirements and risks specific to managing Real Estate Funds.
Vigilant is a full service Investment Management Solutions Firm servicing the regulatory needs of a diversified range of investment management clients. We help with private equity compliance, venture capital compliance, consulting for private equity firms, and other compliance needs. With experts in New York, Philadelphia, Pittsburg, Texas, Metro Washington, D.C., and around the nation, Vigilant is well positioned to help your business create and sustain an effective compliance policy. Since 2004, Vigilant has been the leader among regulatory compliance consulting firms; uniting regulatory compliance, legal, financial expertise and now paving the way to the Market for our clients.