In addition to Licensing and Training, our regulatory services relate to Fund Raising, Fund Management and Governance/ Compliance Systems
Seven Peaks helps you with your fund raising process, whether for your business venture, project or managed fund, by looking after the regulatory requirements. If you are establishing a fund please refer to Fund Management for more details.
Depending on your needs, our involvement can extend across the entire process from concept stage through to marketing and issuing of a financial product (where this is the desired outcome).
Our services include:
- preparing your disclosure documents, and guiding you through due diligence process
- preparing and/or vetting your marketing material
- preparing and delivering training on the particular financial product for your distributing agents
We provide services to help you establish and operate your retail or wholesale fund.
Depending on your needs, our involvement can extend across the entire fund formation process from concept stage through to registration (where necessary), and issue.
We help prepare:
- your disclosure documents
- your marketing material
- any compliance plans required for registered funds, which are also prudent to have for wholesale funds
- training programs on the particular financial product for your distributing agents
- manual and training for your key team members to cover the operation of your fund(s)
We also advise on the internal governance necessary to oversee the operation of your fund, and its compliance with current regulatory requirements.
Governance/ Compliance Systems
If your business is active in the financial services sector you will need a robust and comprehensive governance system.
We offer services to:
- design a system for you – whether you are a licensee, operator of a fund or a responsible entity. Our services include the preparation of a compliance manual, model agendas / reports and registers and training of your key team members
- review your existing governance system and identify any gaps, or updates required as a result of changes to applicable legislation
- implement governance/ compliance systems within your business by training your key team members and support staff to operate the system