Private Placement Compliance

The TurboCompliance^® private placement compliance module provides the ability to automate the monitoring, supervision, detecting, reporting, documenting, sanctioning, annual review and forensic testing required by your compliance procedures.

Within our private placement compliance section we provide a thorough discussion of how we work in concert with your CCO, attorney and CPA to build a version of TurboCompliance which delivers an absolute culture of compliance.

Since this section provides sample compliance procedure language, you must register for a TurboDoc Share Account in order to obtain access; please click here to request access.

In this section we provide a compliance practice guide which addresses:

• The Investment Company Act
• Section 3(c)(1)
• Section 3(c)(7)
• Private Fund Clients
• Private Funds
• Knowledgeable employees
• Section 4(2)
• Regulation D
• SEC v. Ralston Purina Co.,
• “accredited investor”
• “qualified client”
• Performance Fees
• “sophisticated investor”
• Regulation S
• Blue Sky Laws
• NSMIA
• CFTC Regulations, including
• The National Futures Association (Pre Examine Request List)
• Commodity Trading Advisors
• Commodity Pool Operators