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
