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Regulatory Compliance Services designed to minimize risk so you can lean into your investments.

An essential component to building and maintaining a successful investment management firm is developing a compliance infrastructure designed to withstand heavy scrutiny from U.S. Regulators while fitting seamlessly into day-to-day operations. A senior team of regulatory compliance professionals with legal, compliance consulting, and financial regulator backgrounds provides clients with an edge while building out an institutional-grade compliance infrastructure.
Petra’s Compliance Advisory team advises private equity and private credit investment managers through all stages of their business lifecycle by staying abreast of changes in an ever-evolving regulatory landscape.

Petra's Compliance Advisory Services

Investment Adviser Registration
  • Materiality assessments
  • ESG diagnostic/roadmap
  • ESG policy
  • ESG committee
  • ESG diligence screening tool
  • ESG pre-investment ESG risk evaluation scorecards
  • UN PRI membership and other industry groups
  • D&I policy
  • GHG emissions strategies
Ongoing Compliance Support
SEC Mock Examinations

Regulatory Compliance related insights

Reach out to a member of our team to learn more about our Regulatory Compliance advisory services.

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