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Our Services
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| Fixed Fee FilingsSM |
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Regulators such as the Securities and Exchange Commission and state securities commissioners require that investment advisers and the funds they manage make certain filings to comply with various federal and state securities laws. To assist investment advisers and their funds with completing and submitting filings promptly and accurately, Armor Compliance now offers Fixed Fee FilingsSM.
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| Massachusetts Registration |
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| Connecticut Registration |
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| New York Registration |
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| Mock Audits |
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Many Hedge and Private Equity Fund Managers in Connecticut Will Need to Register as Investment Advisers
The Connecticut Department of Banking (the "Department") has failed to renew a commonly-used state investment adviser exemption for hedge and private equity fund managers. Connecticut regulations used to exempt investment advisers from state registration if such advisers relied upon the federal private adviser exemption. In light of the elimination of the federal private adviser exemption by the Dodd-Frank Act as of July 21, 2011, the Department has not renewed its state private adviser exemption.
Hedge and private equity fund managers located in Connecticut will now be required to register with the Department or the SEC. Prior to registration with the Department, principals of such managers will need to pass certain examinations absent a particular exemption. In addition, managers will now need to comply with ongoing regulatory requirements under Connecticut law.
To access a comprehensive checklist of critical steps to register as an investment adviser with the Connecticut Department of Banking, please fill out the contact information below:
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