Fund Compliance Services and AML Officer Services

Why Ironbase?

Ironbase is the compliance services division of Formidium, a global fund administrator headquartered in Downers Grove, Illinois, USA, specializes in providing fund compliance and AML Officer Services to investment management firms worldwide. Our experienced team ensures adherence to regulatory requirements and industry standards, handling various compliance needs such as AML Officer Services, Blue Sky Filing, FATCA/CRS Filing, Franchise Tax, and more.

Ironbase deeply understands the critical role of compliance in the success and integrity of investment management firms. Our aim is to bolster clients with strong compliance frameworks that build trust, ensure adherence, and support their long-term success and legacy. Ironbase stands out with a strategic approach to compliance. Beyond basic requirements, we address each client's unique challenges with proactive, bespoke solutions. Our extensive knowledge of local and international regulations and a global viewpoint makes us an unparalleled compliance partner.

Our Services

AML Officer Services

We adhere to AML compliance through effective policies, procedures, and controls.
We evaluate and address money laundering risks by implementing risk mitigation measures.
We centralize the reporting of suspicious transactions, monitor activities, conduct customer due diligence, and detect potential money laundering indicators.
We protect the institution's reputation by preventing involvement in illicit financial activities and ensuring AML compliance.
We receive and investigate suspicious activity reports (SARs) and report them to the Cayman Financial Reporting Authority when necessary.
We regularly review information from administrators and managers to comply with AML and financing compliance.

FATCA/CRS Filing:

We can assist with due diligence, reporting, drafting business requirements, and providing compliance training.
We offer expert FATCA/CRS Filing assistance to investment management firms.
We adhere to comply with international tax reporting obligations.
We possess a thorough understanding of the intricate regulatory requirements of FATCA and CRS and their implications for your unique business requirements.

Blue Sky Filing

Prepare Form ID. Obtain EDGAR filing codes.
Prepare and file Form D and its amendments.
Research state exemptions and filing requirements.
Provide blue sky spreadsheet with exemptions for historical purposes.
Prepare and file state securities filings.

Franchise Tax

We provide accurate and up-to-date information on filing requirements, deadlines, and applicable fees.
We review your financial records and calculate the tax liability.
We help gather the necessary information, fill out the forms, and submit them to the appropriate state authorities.
We'll help you stay organized by managing and monitoring the deadlines for each jurisdiction where your business operates.

Latest Updates

Press September 18, 2023

Formidium Announces Ironbase Compliance

PressJanuary 30, 2023

Superior fund
compliance solutions and AML Officer
Services