Regulatory compliance.

Minimize risks so you can lean into your investments

Overview

Our Compliance Services

An essential component to building an asset management firm is a regulatory compliance program designed to withstand scrutiny from regulators while fitting seamlessly into day-to-day operations. Petra’s senior team with legal, compliance consulting, and in-house backgrounds provides clients with the knowledge that they have an institutional-grade compliance infrastructure while ensuring that they can also run their day-to-day businesses. Petra makes the complex practical.

Investment Advisor
Registration

Certain private fund managers are required to register with the Securities and Exchange Commission (“SEC") or file information with the SEC. Petra assists asset managers in determining registration requirements and assist in developing a comprehensive compliance program.

Ongoing Compliance
Support

Petra assists asset managers with the maintenance of comprehensive compliance programs that meet regulatory obligations and investor expectations. As part of its ongoing compliance services, the Petra compliance team works alongside its fund administration counterparts to create efficiencies not available when asset managers use multiple service providers.

Expanded Compliance
Services

As an asset manager’s compliance program matures, Petra can create additional value by assisting with the comprehensive review employee reporting functions, such as administering compliance platforms, review of personal trading, code of ethics reporting and review of electronic communications.

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