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 & Compliance team, 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
  • 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