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
 

Investment Advisor Regulatory and Compliance Matters
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Registration issues.
Form ADV, schedules and disclosures.
Day-to-day compliance issues and guidance.
Risk management reviews and assessments.
Compliance system reviews and drafting of procedures and
manuals.
Advertising, sales material, and brochure reviews.
Portfolio and performance disclosure issues.
Code of Ethics issues and reporting.
Compliance annual reviews under Investment Advisers Act
Rule 206(4)-7 and Investment Company Act Rule 38a-1.
Anti-money laundering requirements and related programs.
Review and analysis of financial planning activities and
disclosures.
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