Compliance & Regulatory Support

Stone Coast mitigates clients’ administrative burdens by offering comprehensive compliance and regulatory support services designed to meet US and global mandates. Services are provided through our Legal and Compliance teams, Financial & Regulatory Reporting team and client operations teams. Compliance and regulatory support includes:

  • Know Your Client: verifying the identity of fund investors and beneficial owners
  • Anti-Money Laundering: matching the source and destination of investor capital flows to investors and beneficial owners
  • Anti-Money Laundering Officers for Cayman funds: providing natural persons to serve as Anti-Money Laundering Compliance Officer (“AMLCO”), Money Laundering Reporting Officer (“MLRO”) and Deputy Money Laundering Reporting Officer (“DMLRO”) (collectively, “AML Officers”) as required by Cayman law
  • FATCA and CRS: identification and reporting of investor tax domicile from tax forms and subscription materials, and ongoing monitoring for changes in circumstance
  • FAR Filings: preparation and filing of Cayman-specific FAR report
  • Regulatory Filings: Form PF, CPO-PQR, AIFMD Annex IV and OPERA report preparation and filing
  • Examinations: supplying information, analysis and interview support for clients examined by the SEC or other regulatory bodies
  • Governance: serving as corporate secretary for offshore funds, coordinating board meetings and agendas, recording minutes, drafting and circulating routine resolutions, presenting administrator reports and supporting fund counsel and directors