Investment Advisor Regulatory and Compliance Matters
Broker-Dealer Regulatory
and Compliance Matters
Regulatory Examinations, Inquiries, and Enforcement Actions
Arbitration and Litigation
Provide Legal and Regulatory Counsel on New Business Initiatives
Legal Agreement Review and Drafting
General Business and Corporate Law Representation
Temporary Counsel and Compliance Assignments
_Securities Law Practice Areas
 

Legal Agreement Review and Drafting
...........................................................................................

Review, update, and draft agreements for advisors,
broker-dealers, and other financial services firms.

Including:

Investment management and referral agreements
Separate account agreements
Wrap-fee program agreements
Unified managed account agreements
Client agreements and related disclosures
Vendor and technology agreements
Employment agreements
Confidentiality agreements
Non-disclosure agreements
Agreements limiting competition
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