Legal Services

Regulatory Compliance Reviews

  • 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
  • conduct internal investigations
  • educate SEC staff
  • serve as independent compliance consultant