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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 New York Will Need to Register as
Investment Advisers
The New York Investment Protection Bureau (the "Bureau") has failed to renew a commonly-used state investment adviser exemption for hedge and private equity fund managers. New York 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 Bureau has not renewed its state private adviser exemption.
New York law continues to provide an exemption from registration for investment advisers with fewer than six clients residing in New York (excluding institutions) during the preceding twelve months. However, many hedge and private equity fund managers located in New York will not be able to rely on this exemption and will now be required to register with the Bureau or SEC. Prior to registration with the Bureau, principals of such managers will need to pass certain examinations absent a particular exemption. In addition, managers will now need to comply with the New York Investment Advisory Act.
To access a comprehensive checklist of critical steps to register as an investment adviser with the New York Investment Protection Bureau, please fill out the contact information below:
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