conduct efficient and experienced due diligence and risk assessment reviews, focusing on SEC hot buttons, SEC exam priorities and areas of potential SEC enforcement risk
conduct annual compliance reviews to meet SEC and FINRA regulatory requirements
conduct vendor due diligence reviews
Expert Advice
provide counsel and creative solutions on standing or ad hoc basis
educate clients on latest regulatory requirements and hot buttons
draft and negotiate agreements
review and revise marketing materials
advise on insider trading compliance
SEC Registration
assess and understand adviser’s business
explain adviser’s business and provide customary and expected disclosures in legal filings
provide clients with overview of operating in regulated environment
draft clear and customized compliance manual and calendar of important tasks and deadlines
refresh disclosures to remain current, accurate and ready for SEC exam
SEC Examination
guide investment advisers, hedge fund advisers, private equity advisers and broker-dealers through examinations by the SEC and other regulators
educate SEC staff
design and guide remediation efforts to make clients whole and satisfy the SEC
SEC Enforcement Defense
navigate clients through investigations and proceedings by the U.S. Securities and Exchange Commission’s Division of Enforcement
