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Securing Governance

Fund Officers are a mandate, but it doesn’t have to be hats you wear. PINE delivers independent Fund Chief Compliance Officer and Fund Principal Financial Officer/Treasurer solutions.

On the compliance front, you can expect customized policies, and routine compliance monitoring and testing. While our experienced Fund Treasurer’s offer detailed oversight of fund operations, expense payments, audit preparation and financial fund governance. Secure your registered funds with a team that prioritizes your firm’s integrity.

Strategic Compliance Assurance

Leverage our expertise to ensure your fund is not just compliant, but ahead of the curve. Our customized compliance programs and proactive testing safeguard your operations against an ever-evolving regulatory landscape.

Financial Stewardship

Entrust your financial governance to our seasoned Fund Treasurers, who bring unparalleled precision to fund operations, expense management, and audit facilitation—ensuring your fund's financial practices are beyond reproach.

Operational Synergy

Embrace the synergy of having dedicated officers aligning with your operational ethos, empowering your team to focus on core investment strategies while we manage the crucial, yet non-core, intricacies of fund oversight.

Audit Preparedness

Stay audit-ready with a team that not only prepares but fortifies your position with detailed financial reports and governance structures designed to withstand the most rigorous audit processes.

Risk Mitigation

With PINE's vigilant oversight, your fund's risk exposure is meticulously managed. Our tailored policies and continuous monitoring mean potential issues are identified and addressed before they can become liabilities.

Frequently Asked Questions

PINE’s experienced Fund CCOs provide integral compliance support for your registered funds, including the review or creation of a customized compliance program, ongoing testing of compliance policies and procedures, quarterly monitoring and annual due diligence of service providers, monitoring and implementation of regulatory changes and quarterly and annual 38a-1 reporting to Fund Boards. PINE’s Fund CCOs do more than just meet Regulatory requirements and are empowered to be a trusted partner to clients, service providers and Fund Boards.

The PINE CCO team proactively addresses regulatory changes through a comprehensive approach that includes monitoring, impact assessment, customized policies, training, testing, ongoing support and documentation. This approach ensures our clients remain compliant, reduce risks, and stay focused on their core business objectives amidst evolving regulations.

Our Fund CCOs design each Fund Compliance program in anticipation of regulatory examinations. During an exam, PINE’s Fund CCOs will serve as the point of contact for the SEC and will assist in gathering and reviewing documentation from the applicable service providers. The PINE Fund CCO will guide your team through the examination process to ensure a smooth and compliant experience.

PINE maintains a dedicated team of compliance experts who closely monitor regulatory changes, attend industry seminars, monitor the websites of Regulators, review legal bulletins, and engage in ongoing training. PINE’s Fund CCOs proactively address these changes utilizing a comprehensive approach that includes an impact assessment, creating customized policies, testing, and providing ongoing support and documentation. This approach ensures our clients remain compliant, reduce risks, and stay focused on their core business objectives amidst evolving regulations.

PINE’s Fund CCOs oversee applicable service providers through an established process of quarterly questionnaires, certifications, monitoring performance and conducting detailed due diligence. PINE’s Fund CCOs strive to maintain collaborative communication channels and work with each service provider to implement escalation protocols that are the keys to a successful relationship.

PINE stands out due to our tailored approach, experienced team, and commitment to personalized service. Our Fund CCO’s work closely with you and the board members to understand your unique needs, providing proactive compliance solutions and ongoing support, which ensures your fund remains compliant while optimizing its operational efficiency.

There are many regulatory differences between managing a private fund versus a registered fund that need to be considered when contemplating this transition, and our experienced PINE team can assist with that process.

PINE offers a team of experienced industry professionals who can help you monitor and work through the regulatory considerations of launching and managing a registered fund. A PINE PFO will assist with the certification and disclosure controls processes required for a registered fund’s financial statements, regulatory and shareholder reporting.

One of the largest challenges is acquiring information from underlying managers. Registered funds have IRS diversification, distribution and reporting requirements. A PINE PFO can assist you in monitoring these requirements and providing guidance on obtaining the correct information to ensure your fund stays within compliance of these rules.

PINE has a team of professionals that have vast experience in the finance industry. A PINE PFO can help you review the regulatory requirements and provide guidance alongside counsel and fund administrators to work through any issues or questions that arise during the launch or ongoing operations of your fund.

Depending on the investment objective of your fund, yes. If your fund's underlying investments will be issuing audited financial statements and K-1s, you'll want to align your fiscal and tax year ends so you receive these documents with enough time to incorporate the necessary information into your annual audits and tax returns.

The Principal Officer/Treasurer must be approved by the fund’s Board of Trustees and should be knowledgeable of the 1940 Act. The Sarbanes-Oxley Act of 2002 and the 1940 Act require Certifying Officers to make certain certifications on each periodic report containing financial statements. PINE offers a team of PFOs with strong backgrounds who can fulfill these requirements.

Working with PINE Compliance has significantly improved my peace of mind. When I initially ventured into the world of ETFs, my biggest concern was not knowing what I didn't know. PINE has effectively assumed the role of Chief Compliance Officer for our fund, allowing me to focus on my strengths. The consistent and open communication we maintain ensures we stay on top of all compliance-related tasks. Their expertise has been invaluable in establishing and maintaining an institutional-level compliance program. I wholeheartedly recommend PINE; they've been an indispensable asset to our organization.

Bradley R. Roth – THOR Financial Technologies, Chief Investment Officer

We view PINE as a true partner, not just a service provider. Their responsiveness, attention to detail and specialized expertise have been a critical part of our success as an asset manager. By partnering with PINE, we have been able free up our time and resources to focus on what we do best, allowing us to deliver a better investment solution for our clients.

Jeremy Held, CFA, Bow River Capital – Managing Director | Evergreen Strategies Team