Compliance Services
Compliance support for managers and general partners who want policies, reviews, and coordination to keep pace with the firm.
Compliance is the system that lets a manager speak clearly to investors, regulators, and its own people. Equity Capital’s compliance services are practical support for that system. We help general partners and emerging managers organize policies, reviews, and day-to-day coordination. The manager keeps its regulatory duties and its own counsel.
Support that stays specific
The right scope depends on the firm. A launch-stage manager may need a code of ethics, a marketing-review habit, and books-and-records hygiene before the first investor meeting. A larger sponsor may need tighter coordination among compliance, finance, and the vendors who touch investor data. We work from the firm’s actual activities — private equity, credit, real estate, or a sector strategy.
Compliance support is designed to sit beside management company administration, where accounting and expense processes live, and beside GP Partnership when the firm is emerging. Counsel remains the manager’s to choose.
- Policy and procedure drafting support tailored to the firm’s activities
- Marketing and communications review habits
- Books-and-records and personal-trading hygiene
- Coordination with finance, administrators, and other providers
- A clearer control story for professional investors doing diligence
- Escalation to the manager’s own counsel where the question is legal
Describe the firm on the application, or write through contact.
Compliance services are operational support for the firm’s own program.
Equity Capital is not a law firm and does not provide legal advice. Each manager retains its own regulatory obligations.
Nothing on this page is an offer to sell securities or a solicitation to buy any security. It is intended for qualified and professional audiences. Any relationship is subject to separate documentation and diligence.