Fundraising and Marketing with Confidence: A Key Considerations Checklist

Launching a new fund, product, or strategy brings unique compliance and operational challenges. At this critical stage, staying informed and ready for regulatory requirements while maintaining investor confidence is essential for success.

To guide you through this process, we’ve developed a checklist that outlines key considerations to help you navigate the early launch phase with confidence, examining the need to:

• Plan: Setting expectations, evaluating your team’s expertise, and engaging third-party partners to manage compliance and regulatory obligations can make all the difference in ensuring a smooth and successful launch. Establishing the right compliance framework upfront will help you build a strong foundation and position your firm for long-term success.
• Build: Once you’ve laid the groundwork, focus on compliance and control infrastructure, peer benchmarking, and registration or authorization processes. Leveraging external expertise—whether through managed services, RegTech solutions, or legal advisors—can optimize internal resources, boost operational efficiency, and mitigate risks.
• Promote: As you promote your firm and meet fundraising obligations, you’ll need to ensure all marketing materials comply with jurisdictional regulations. Whether through in-house reviews or automated RegTech solutions, maintaining clear oversight of marketing compliance, electronic communications, and ESG messaging is key.

What You’ll Get from the Checklist

• Essential steps to ensure compliance with fundraising and marketing regulations
• Guidance on building a strong compliance and control infrastructure before launch
• Strategic insights on investor engagement and regulatory readiness
• Practical steps to protect your firm from operational, financial, and reputational risks

Download the checklist now to ensure your firm is ready to launch and attract confident investors while meeting regulatory requirements at every stage.

Download checklist

How we help

We can help you establish a strong governance, risk, compliance (GRC) program to ease market entry, attract confident investors, boost resilience, and meet regulatory requirements and expectations.

Once off the ground, we can further support you with our broad range of advisory, managed services, and RegTech solutions. These are designed to help you grow and protect your business while also addressing your compliance, ESG, investment performance, and cyber challenges.

Contact us today to get started!