Compliance for Private Credit Managers
Fractional CCO, Form PF, valuation oversight, AML independent testing, LP reporting, and covenant monitoring for direct lenders, BDCs, rated-note feeders, and specialty finance platforms — from emerging managers to institutional platforms.
Built for the full private credit stack
Direct Lending Funds
Middle-market, unitranche, and specialty finance
BDCs
Public non-listed, private, and interval BDCs
Rated-Note Feeders / ICDFs
Insurance dedicated funds and rated feeder structures
Credit Opportunities & CLOs
Opportunistic credit, distressed, CLO equity
Consulting Tiers
Monthly consulting scaled to AUM and fund complexity. All tiers include RegReview.io – Private Credit seats. Annual prepay saves 2 months.
Bronze
$1,500 / mo
Emerging credit managers ($0–$50M AUM)
- Quarterly compliance touchpoint
- ADV & Form D annual filings
- Investor disclosure & subscription doc review
- RegReview.io – Private Credit (3 seats)
- Ad-hoc regulatory Q&A
Silver
$3,500 / mo
Growing credit funds ($50M–$250M AUM)
- Monthly compliance officer support
- Annual 206(4)-7 review & mock exam
- Covenant compliance monitoring templates
- Portfolio company diligence workflows
- RegReview.io – Private Credit (5 seats)
- InvestPrep Credit Pro (2 seats)
Gold
$6,500 / mo
Established credit platforms ($250M–$1B AUM)
- Dedicated fractional CCO (named on record)
- Form PF (Section 3/4) preparation & filing
- Annual AML program & independent testing coordination
- Valuation policy & ASC 820 workpaper support
- LP reporting & side-letter compliance
- RegReview.io – Private Credit (10 seats)
- InvestPrep Credit Pro (5 seats)
Platinum
Custom
Institutional platforms ($1B+ AUM, multi-strategy)
- Multi-fund CCO with named backups
- Full Form PF (all applicable sections)
- Volcker & bank-affiliate coordination (if applicable)
- Rated-note feeder & insurance dedicated fund support
- SEC exam response & remediation
- Bespoke RegReview + InvestPrep deployment
- Board & IC materials review
FAQ
Do you support BDCs and rated-note feeder structures?
Yes. Gold and Platinum tiers cover BDC compliance program requirements (1940 Act §55–65) and rated-note feeder documentation, including insurance company dedicated fund (ICDF) structures.
How do you handle valuation compliance?
We coordinate with your valuation agent to maintain ASC 820 workpapers, Rule 2a-5 board oversight (if applicable), and quarterly valuation committee minutes—stored in RegReview Books & Records for audit and exam readiness.
Do you file Form PF?
Yes. Gold tier includes Form PF Section 3 (large private fund advisers) and Section 4 (large credit fund advisers) preparation and filing on the required cadence.
Can you help with LP reporting & side letters?
Yes. We maintain your side-letter matrix, MFN elections, and quarterly LP report compliance—flagging conflicts between side letters, LPA, and PPM.
What about direct lending & warehouse facility oversight?
Platinum includes covenant monitoring templates, warehouse facility compliance calendars, and reporting for CLO/warehouse trustees.
Scope your private credit compliance program
Book a scoping call — we'll benchmark your current state against tier deliverables and recommend a fit.