Full-Service Fund Compliance, Expert and Integrated
From launch to growth and cross-border expansion, our compliance services evolve with you. We manage jurisdictional complexity so you can stay focused on performance.
Regulatory Compliance That Protects Your Fund
Our team of lawyers and experienced compliance professionals is here to support your goals. With both core service offerings and multi-jurisdictional optionality, we can identify and meet the compliance needs you have today, and those that arise tomorrow.
Regulatory Compliance Services
- AML/KYC Compliance for Funds and Investors (US and offshore)
- AML Officer Services – AMLCO and MLRO for Cayman Funds
- FATCA and CRS Compliance – PPOC and CRS Compliance Forms
- Global Regulatory Reporting – SEC Form PF, AIFMD Annex IV, CPO-PQR, and Cayman FAR filings
- Fund Governance and Board Support
- Due Diligence and Regulatory Examination Support
- Compliance and Governance Representation Letters
Compliance That’s Hands-On, Not Handed Off
Our regulatory compliance services are designed to reduce risk, eliminate ambiguity, and lighten the load on your internal team. Whether it’s managing routine filings, preparing board reports, or addressing jurisdictional requirements, our experienced compliance professionals don’t just assist, they take ownership. You get dedicated, detail-oriented support that holds up under scrutiny and scales with your firm.
AML/KYC Compliance
Provision of risk-based investor due diligence and ongoing monitoring programs, including management of suspicious activity reporting and sanctions compliance, designed to meet current regulatory requirements and constantly evolving industry expectations in both the U.S. and the Cayman Islands. In addition, provision of AML training for fund managers and directors.
AML Officer
Services
Provision of experienced AMLCOs, MLROs, and deputy MLROs for your funds, with responsibility for preparation specific risk assessments, development and monitoring of fund specific AML procedures, and comprehensive Board reporting.
FATCA and CRS Compliance
Full-service FATCA and CRS regulatory support starts with portal setup as PPOC and covers all bases from collection and updating of necessary investor information, through timely preparation and submission of all applicable filings to relevant tax authorities.
Global
Regulatory
Reporting
Stone Coast works with you to determine your regulatory reporting needs and provide streamlined multi-jurisdictional reporting services spanning U.S., European, and offshore markets, including SEC Form PF, AIFMD Annex IV, CPO-PQR, and Cayman FAR.
Fund Governance
and Board
Support
Our corporate secretarial services and professionally prepared administrator reports help your fund’s board of directors prepare for meetings, understand relevant fund activity, and maintain polished records of the governance process.
Due Diligence and Regulatory Examination Support
Stone Coast is prepared to help you navigate increasingly detailed counterparty AML and other due diligence to keep your banking and prime brokerage relationships running smoothly. We also support you during mock and actual SEC, CFTC, or other regulatory exams with expert analysis and interview assistance throughout the examination process.
We Know Where Compliance Breaks Down
Compliance That Isn’t Integrated Creates Risk.
At many administrators, compliance teams can be inaccessible when you need them, potentially spread across multiple locations or organizationally removed from fund operations. At Stone Coast, compliance works alongside operations, with both fully accessible to clients.
Regulatory Requirements Are Constantly Changing.
With funds spread across multiple jurisdictions, staying current with filings and deadlines is a challenge. Stone Coast’s legal and compliance experts translate complexity into action, ensuring your investor records, documentation, and filings stand up to scrutiny wherever your funds operate.
Compliance Can Feel Like An Impediment.
The demands of compliance can slow you down when you’re trying to move your business forward. At Stone Coast, our compliance professionals work as your strategic partners, not obstacles. We collaborate with you to find compliant solutions that enable your objectives, turning regulatory requirements from roadblocks into competitive advantages that protect and empower your fund’s growth.
Ready for Less Regulatory Stress?
Get in touch to see how Stone Coast can reduce risk and streamline your regulatory operations.
Regulatory Support That’s Built Differently
At many administrators, compliance is siloed from operations – an isolated team without the benefit of context. Stone Coast takes the opposite approach: we’ve built a dedicated, cross-functional regulatory process led by legal and compliance professionals working hand in hand with operations experts to stay on top of both regulatory changes and industry standards. Our model is proactive, rigorous, and designed to keep your fund ahead of risk and on pace with investor expectations.
Compliance is Integrated
At Stone Coast, regulatory compliance works alongside operations and our clients, and is fully accessible to both. You get a team that’s focused, accountable, and fully integrated.
Expert and
Accessible
Our compliance team includes attorneys, fund governance experts, and seasoned operations professionals. This depth allows us to provide jurisdiction-specific guidance, prepare regulatory filings with precision, and support your firm through audits, reviews, and structural changes.
Proactive and
Controlled
We don’t wait for issues to surface. Our compliance model is grounded in generous staffing, controlled workflows, proactive communication, and ongoing risk and regulation monitoring. Every pending regulation is analyzed, and every report, filing, and escalation is tracked from start to finish.
Insights
Stone Coast Insights
Explore articles on regulatory trends, process optimization, risk management, and operational excellence in financial services.
Onboarding & Implementation
From Kickoff Call to First NAV: How We Set Funds Up for Long-Term Success
The first few months of a fund’s operational lifecycle establish patterns that persist throughout its lifespan; a successful fund setup and implementation lay the groundwork for an effective launch and clear anticipated obstacles for smooth sailing in the future.
Paul Daniels
Sep 2025
Regulatory Compliance
Reality v. Rules – AML Requirements for Alternative Investment Managers in the US
Industry counterparties have high expectations for private fund AML programs, regardless of the specific regulatory mandates imposed on either the fund or its manager.
Kenyon Shubert
Oct 2025
Compliance FAQs
Have a compliance question? Below are some of the most common topics fund managers ask about — and how Stone Coast addresses them.
Do you handle AML/KYC investor due diligence?
Stone Coast manages the end-to-end AML/KYC process in-house, including initial reviews, ongoing monitoring, AML compliance, and all related investor communications. We also respond directly to auditor and counterparty due diligence requests.
Can you support offshore regulatory filings?
Yes. We manage compliance obligations across jurisdictions, including FATCA/CRS, AML filings, and coordination with local counsel to meet evolving regulatory standards.
How do you track and manage regulatory deadlines?
Our compliance tasks are tracked using detailed checklists, dashboards, and automated alerts. Every filing, submission, and deliverable is documented and reviewed to ensure deadlines are met and nothing is missed.
Will Stone Coast prepare board packages for governance meetings?
Absolutely. We compile tailored board materials, including fund performance data, compliance reports, and coordinate with directors and legal counsel to support structured, well-documented meetings.
Regulatory Compliance is Just Part of the Solution
Accurate NAVs, allocations, waterfalls, and financials backed by a disciplined review process and audit-ready controls.
We handle subscriptions, calls, redemptions, distributions, transfers, and investor communications with precision and responsiveness.
A proven onboarding process that ensures a seamless transition, clean data, and zero disruption for your investors.
Ready for Compliance That’s Actually Built for Funds Like Yours?
