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Solutions: Due Diligence for Hedge Funds

Charles Griffin Intelligence LLC

Charles Griffin offers funds a variety of services to make sure that funds are in compliance with SEC rules that govern due diligence.

  • Under Dodd-Frank and SEC rules issued in September 2013, any Rule 506 issuer needs to undertake "bad actor" due diligence, which covers past acts by major investors, executives, managers, and promoters. Funds now need to screen for and report a variety of "bad acts" including temporary restraining orders, other court actions, and selected criminal convictions. Obtaining a representation that someone has not committed any "bad acts" is not enough. Instead, the SEC demands to see that a standard of reasonable care has been taken in conducting due diligence on potential bad actors.
  • Under the JOBS Act and SEC rules issued in July 2013, hedge funds that advertise now need to make certain that all of their investors are "accredited." For hedge funds, the days of once-over-lightly "check-the-box" due diligence on their investors are over.

As with all of our investigations, results are confidential and we never re-sell information gathered to third parties.

Click on the chart at right for a list of our accredited investor due diligence services, or here to download or print the list.

For services involving bad actor due diligence, please use the contact form on this website for a customized quote.

 

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