Investment Fund Compliance

Trusted Fund Attorney Support

At RaiseLaw, we help fund managers, general partners, and investment professionals navigate the complex regulatory landscape that governs modern investment funds. Our experienced fund attorneys provide complete investment fund compliance support — from fund formation to ongoing legal maintenance — so you can focus on raising capital, managing investments, and delivering returns while we handle the compliance and legal structure.

Investment Fund Compliance

Starting an investment fund is one of the most rewarding yet complex undertakings in finance. But without the right legal framework, a promising fund can face serious setbacks — regulatory penalties, investor disputes, or even suspension of operations.

That’s why fund compliance is not just a box to tick — it’s the foundation of your fund’s credibility.

At RaiseLaw, we combine decades of legal experience with a deep understanding of how funds operate. Whether you’re structuring a private equity, hedge, venture capital, or real estate fund, our attorneys will ensure every element of your fund meets the legal and regulatory standards set by the SEC, FINRA, and other governing bodies.

We don’t just keep you compliant — we help you build investor trust and long-term operational security.

Our Core Investment Fund Compliance Services

1. Structure & Documentation

We assist in designing the correct legal structure for your fund, drafting operating agreements, limited partnership agreements, subscription documents and all governance materials that meet regulatory standards.

2. Regulatory Filings & Compliance Programme

We manage necessary filings — both domestic and cross-jurisdictional — and implement compliance programmes tailored to your fund: AML/KYC, investor suitability, reporting obligations and regulatory register maintenance.

3. Ongoing Monitoring & Advisory

Compliance isn’t a one-time check. We provide ongoing monitoring, respond to regulatory changes, review operational practices and advise you on maintaining alignment with applicable laws so that your fund remains secure and investor-ready.

4. Investor Relations & Disclosure Support

Clear communication with investors is vital for trust and transparency. We help you prepare compliant investor communications, update offering materials, and manage disclosure obligations to ensure your fund remains transparent and aligned with both legal and ethical standards

Why Choose RaiseLaw for Investment Fund Compliance?

Specialist Focus: We specialise exclusively in funds, syndications and securities — not general corporate law.
Hands-On Experience: Our attorneys have firsthand experience structuring, raising and operating funds — meaning practical advice, not just legal theory.
Responsive Service: We act as your strategic legal partner throughout the fund lifecycle — from launch through scale–up and beyond.
Transparent Partnership: Clear terms, no surprises — we’ll guide you proactively and speak in business-friendly language.

Expertise Across Every Fund Type

Our attorneys have hands-on experience across private equity, venture capital, hedge, and real estate funds. We understand the nuances of each structure and provide tailored legal solutions that ensure your fund is built on strong, compliant foundations from day one.

2. Global Compliance for Cross-Border Funds

In today’s interconnected investment world, funds often operate across multiple jurisdictions, facing a web of international regulations. RaiseLaw helps you manage the complexities of global compliance, ensuring that your fund structure, investor onboarding, and reporting practices meet both domestic and foreign requirements. Whether you are managing international investors or operating through offshore entities, we ensure your fund remains transparent, compliant, and fully aligned with cross-border regulatory standards. With our guidance, you can confidently expand your fund’s reach without risking non-compliance.

1. Expertise Across Every Fund Type

At RaiseLaw, we understand that every fund is different. Whether you’re launching a private equity, venture capital, hedge, or real estate fund, each comes with its own legal complexities and compliance challenges. Our attorneys have deep experience across all fund types, enabling us to tailor strategies that align with your investment objectives and regulatory obligations. We provide clear legal guidance that allows you to focus on performance, investor relations, and growth while knowing your fund is built on a solid legal foundation.

3. Investor Protection and Transparency

Investor trust is the cornerstone of a successful fund. We work closely with our clients to ensure that every communication, disclosure, and report sent to investors is clear, accurate, and compliant. Our attorneys help you prepare documentation and reports that reflect your fund’s integrity and professionalism while adhering to all disclosure laws. By maintaining open and transparent investor relations, your fund demonstrates the reliability and governance standards that modern investors demand — strengthening both your reputation and long-term success.

4. Risk Management and Regulatory Readiness

The financial landscape is constantly changing, and with it comes increasing regulatory scrutiny. RaiseLaw ensures your fund is fully prepared for audits, reviews, and inquiries from regulators. Our legal team conducts comprehensive assessments of your internal compliance systems, identifies vulnerabilities, and provides actionable recommendations to strengthen your operations. By anticipating risks before they arise, we help you maintain continuous regulatory readiness, reduce potential penalties, and protect the credibility of your fund and management team.

Ready to Get Fund-Ready and Fully Compliant?

Don’t let legal uncertainty slow down your launch or limit your investors’ confidence. Whether you’re building your first fund or scaling an existing one, compliance and structure are the foundations of long-term success.

Fund Attorney Frequently Asked Questions

1. What is a Fund of Funds (FoF)?

A Fund of Funds is a vehicle that pools investor capital and allocates it into multiple other investment funds, rather than directly into deals or assets. It’s a great way to offer diversification and leverage top-tier operators, without managing properties or projects yourself.

2. What’s the difference between a private fund and a public fund?

Private funds are offered under exemptions from registration, typically under Regulation D. They’re often used for hedge funds, private equity, venture capital, or real estate. Public funds, on the other hand, are registered with the SEC and available to the broader public, like mutual funds or ETFs, and come with heavier compliance requirements.

3. What types of private funds can I create?

You can launch various types of funds, including real estate funds, fund of funds, venture capital funds, debt funds, and income-focused vehicles. We’ll help you determine the right structure for your strategy, target investor base, and long-term goals.

4. What documents are needed to start a fund?

At a minimum, you’ll need:

Private Placement Memorandum (PPM)
Limited Partnership Agreement or Operating Agreement
Subscription Agreement
Investor Questionnaire
Federal and State Securities Filings (Form D + Blue Sky)
RaiseLaw drafts everything, customized to your fund model, risk profile, and investor needs.

5. What are the key compliance issues for private funds?

The biggest risks come from crossing the line into broker-dealer territory, giving individualized investment advice, or triggering registration under the Investment Company Act. We design your fund to avoid these pitfalls and keep you operating legally and efficiently.

6. How does RaiseLaw help fund managers?

We build the full legal infrastructure for your fund, from entity formation to regulatory filings. But beyond the legal docs, we help you think through strategy, structure, investor flow, and risk, because we’ve built and raised capital for our own funds, too.

7. What’s the Investment Company Act, and why does it matter?

The Investment Company Act of 1940 governs the operation of pooled investment vehicles. Most private funds avoid registration by qualifying for an exemption (like 3(c)(1) or 3(c)(7)). If your fund structure doesn’t fit those boxes, you could face serious regulatory scrutiny, which is why getting the setup right is crucial.

8. Can I advertise my fund to the public?

Only if you’re operating under Rule 506(c), which allows general solicitation, but requires every investor to be verified as accredited. Most fund managers choose this route when they have a strong online presence and need to scale quickly.

9. What’s Form ADV and who needs to file it?

Form ADV is a required disclosure for Registered Investment Advisers (RIAs). If your fund offers individualized investment advice or multiple investment options, you may trigger RIA registration. We’ll help you avoid registration (if that’s your goal) or guide you through the process if you do need it.

10. What happens if I don’t comply with securities law?

Fund Foundations 101