Securities, Blue Sky, and Fund Compliance

Let Agile Legal Services' team of experienced securities professionals review and analyze your fund portfolio through its comprehensive audit process. Contact Agile Legal today to learn how this audit can identify risks and decrease compliance expenses.

Agile Legal's thorough review includes:

  • Review offering materials. Often, Agile Legal identifies fund offerings that aren't aligned with their offering materials.
  • Review historical sales transactions, state and federal filings, and exemption reliance history to verify statutory and regulatory compliance. In many cases, Agile Legal Services finds funds relying on old statutes or expired exemptions.
  • Review and analyze any possible state filing triggers. Many times Agile Legal Services analysis reveals funds are no longer entitled to an exemption because sales transactions have triggered a filing obligation.
  • Provide Agile comprehensive BlueSky Report customized based on your portfolio including includes:
    • Analysis of blue sky history with current exemption statues by fund and state for all self-executing exemptions where no notice filing is required.
    • Federal and state filing analysis with applicable statutes and filing obligations where notice filings are required.
    • Comprehensive federal and state filing fees, along with penalties and fines, if any, for failures to file as well as ongoing compliance and maintenance requirements and fees.
    • Agile Legal Services' experience-based issue analysis and jurisdictional notes and comments by state.

Delaware     Boston     Richmond     Los Angeles

Professional Woman with Glasses

Senior Level Legal Professionals

  • On-demand access
  • Specialized support
  • Diverse range of practice areas
  • Attorneys, paralegals, and other legal professionals

*Proven experience that delivers a single point of contact for your firm collaboration from start to finish​*Agile Legal Services is not a law firm. Our work product should not replace competent legal advice.