Phoenix American Financial Services

Essential Expertise for a Changing Regulatory Environment.

Comprehensive Answers to Important New Questions

Phoenix American is committed to keeping our clients informed and equipped to address ever evolving compliance requirements as a part of our emphasis on customer service. As your fund operations partner, our goal is to provide the resources you need to formulate and execute an appropriate compliance strategy specific to your particular venture. Phoenix American helps to streamline your regulatory compliance allowing you more time to concentrate on increasing sales and maximizing returns for your investors.

Regulatory compliance is a burdensome distraction to take on without support and too important to trust to a provider without specific experience. The STAR-XMS system includes an array of built-in compliance features:

  • Office of Foreign Assets Control (OFAC)
  • Know Your Customer (KYC)
  • Anti-Money Laundering (AML)
  • Blue Sky Tracking
  • Audit Support

Phoenix American’s integrated systems accommodate all recent regulatory changes and are designed with a flexibility that anticipates and accommodates possible changes in the future. Whatever your compliance need, we craft the customized suite of services that makes the process easiest for you. Additional compliance services include:

  • Asset Valuations
  • Cost Basis Accounting
  • Financial Reporting
  • EDGAR Filing
  • Investor Accreditation

Our STA trained staff is experienced with all the reporting and filing requirements for alternative investments for compliance with a complete range of entities.

  • Internal Revenue Service (IRS)
  • Securities and Exchange Commission (SEC)
  • Commodity Futures Trading Commission (CFTC)
  • Small Business Administration (SBA)
  • Financial Industry Regulatory Authority (FINRA)
  • Institutional and High Net Worth Investors
  • Financial Advisors

We work with your CCO to help develop an assessment of your fund’s particular situation and develop an appropriate compliance strategy. Our ongoing investment in compliance support capability provides certainty and peace of mind for our clients in their reporting requirements pursuant to all applicable laws.

  • Securities Act of 1933
  • Securities Exchange Act of 1934
  • Investment Company Act of 1940
  • Dodd-Frank
  • Sarbanes-Oxley
  • Commodity Exchange Act