Legal Services

Regulatory Compliance Reviews

Buttonwood Legal Adviser regularly conducts efficient and experienced regulatory compliance reviews which emphasize areas of SEC examination focus, compliance with new regulatory requirements, changes to our clients’ business and areas of potential litigation or government enforcement risk.

SEC Examinations

Buttonwood Legal Adviser routinely helps guide our clients through examinations by the SEC. We help our clients efficiently and effectively respond to SEC requests and findings letters and implement remedial action when needed.

Expert Advice

Clients frequently rely on Buttonwood Legal Adviser to provide expert counsel drawn from our deep knowledge of the securities laws and of market practices. We advise on new business ventures, draft and negotiate agreements, draft compliance policies, review and revise marketing materials, and provide advice on insider trading compliance.

SEC Registration

Buttonwood Legal Advisor guides clients through the process of becoming a new SEC registrant. After assessing and understanding the Client’s business, we help our clients with the necessary regulatory filings, compliance policies and procedures and compliance calendar or other plan to comply with the compliance responsibilities they will be subject to.

SEC Enforcement Defense

In the highly regulated industry that governs investment advisers, many clients periodically find themselves in contact with the SEC’s Division of Enforcement. Drawing on our founder’s roots as an SEC Enforcement attorney, we help our clients successfully navigate enforcement investigations and proceedings.