Pre-launch

We have extensive experience in acting as the project manager during the pre-launch phase of a fund. We work with you to assess the opportunities  for your new fund and then manage your fund set-up process from start to finish, including fund structuring, helping the fund gain regulatory approval, and undertaking AML/CFT investor due diligence.

Fund Structuring and Establishment

We help you to establish and manage your fund structure, including venture capital, private equity, real estate, superannuation, unit trusts, alternative investment funds, and hedge funds.

Our services include:

• Legal, tax and accounting advice
• Establishment of the fund
• Establishment of fund manager
• Preparation of the investment management agreement
• Preparation of distributor agreements
• Preparation of all legal documents and agreements
• Reviewing the Information Memorandum, Investment Statement, or Prospectus
• Co-ordinating, and communicating with, the various third-party service providers
• AML/CFT risk assessment and policies and procedures
• Fund sponsor AML/CFT, PEP and sanction checks
• Registration of the fund with the regulators, including the FMA for NZ retail funds
• Registration of the fund with the tax authorities
• Registration of the fund for FATCA/CRS
• Obtaining ISIN number(s) for fund securities
• Registration of the fund manager on the FSP Register
• Assisting the fund manager with all FMA licensing requirements
• Co-ordinating, and communicating with, the fund’s trustee or licensed supervisor
• Bank and broker account openings
• Integration with custodians and prime brokers
• Consent letters
• Fund IT and reporting systems

Investor On-boarding

We manage the on-boarding of your investors by providing the following services:

• Preparation of application forms and subscription agreements
• Investor identification and proof of address
• Investor proof of source of funds
• Investor PEP and sanction checks
• Investor AML/CFT Enhanced Due Diligence
• Review of all on-boarding documentation
• Liaising with bankers, lawyers and other advisers
• Investor acceptance
• Investor communications
• Investor registry