We regularly provide …

Services for Securities Firms and Financial Services Businesses

Investment Adviser Regulation and Compliance Matters

  • 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; GIPS Standards
  • 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

Broker-Dealer Regulation and Compliance Matters

  • FINRA membership process and SEC registration
  • Broker-dealer registration issues
  • Form BD, schedules and disclosures
  • Form U-4 and Form U-5 disclosures and filings
  • Registered representative registration and qualification issues with SROs and states
  • Day-to-day compliance and operational issues and guidance
  • Risk management reviews and assessments
  • Compliance system reviews and drafting of procedures and manuals
  • Firm supervisory structure and branch office issues
  • Advertising, sales material, and brochure reviews
  • Code of Ethics issues and reporting
  • Compliance annual certification under FINRA Rules
  • Anti-money laundering requirements and related programs
  • Continuing education requirements and annual compliance meeting content

Regulatory Inquiries, Examinations and Enforcement Actions

  • Counsel and represent Clients in examinations and regulatory and enforcement actions by SEC, FINRA, exchanges, and states
  • Assist Clients with examination and deficiency letter responses
  • Counsel on examination preparation, design and conduct mock examinations
  • On the record interviews (OTRs), preparation and subpoena responses
  • Advise on books and records issues; design and conduct reviews

Provide Legal and Regulatory Counsel on New Business Initiatives

  • Design and conduct gap analysis for compliance and supervisory procedures and other control systems and procedures
  • Draft new procedures, agreements, and required disclosures

Legal Agreement Review and drafting:

  • Client 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

Services for Individuals Employed in the Securities and Financial Services Industry

  • Negotiation and Preparation of Employment and Benefits Agreements
  • Transition Counseling, Exit Strategies and Separation Agreements
  • Creation of New Business Entities and Registration of New RIAs
  • Licensing, Registration and Qualifications Issues
  • Firm Internal Compliance Issues
  • Termination issues with RIAs and BDs
  • Promissory Note Issues
  • Regulatory Inquiries and Enforcement Matters with the SEC, FINRA, States, CFP Board
  • On the record interviews (OTRs), preparation and subpoena responses

Regulatory and Compliance Consulting Services

Compliance programs for regulated entities must be reasonably designed to meet the requirements of the SEC, FINRA and states. Equally important, each program must be implemented with precision and reviewed periodically to be considered adequate under applicable regulations. We have worked on hundreds of compliance matters, including inquiries, examinations and reviews. Our deep experience and ongoing practice allow us to maximize the value we bring to clients when they need it most. Mr. Mahoney has also been the chief compliance officer for many registrants, including several broker-dealers and investment advisers, an ATS, and a securities funding portal. He has also been the AML compliance officer for several BDs, RIAs and registered investment companies.

Investment Adviser Compliance Services

  • RIA registrations with SEC and states
  • 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
  • Books and records requirements and issues
  • Mock reviews and examinations

Broker-Dealer Compliance Services

  • FINRA membership process and SEC and State registrations
  • Form BD, schedules and disclosures
  • Form ATS preparation and filing
  • Form U-4 and Form U-5 disclosures and filings
  • Registered representative registration and qualification issues with SROs and states
  • Day-to-day compliance issues and guidance
  • Risk management reviews and assessments
  • Compliance system reviews and drafting of procedures and manuals
  • Firm supervisory structure and branch office issues
  • Advertising, sales material, and brochure reviews
  • Code of Ethics issues and reporting
  • Compliance annual certification under FINRA Rules
  • Anti-money laundering requirements and related programs
  • Continuing education requirements and annual compliance meeting content
  • Books and records requirements and issues
  • Mock reviews and examinations

Corporate and Business Law Services

The Firm provides legal advice and representation to individuals, corporations, limited liability companies, partnerships, and other business organizations. The Firm represents businesses of all sizes, from start-up to established national corporations.
The Firm advises Clients in all aspects of general business law, including:

  • General Corporate Matters
  • Entity Formations
  • Governance
  • Employment Contracts
  • Client Agreements
  • Vendor Contracts
  • Joint Ventures
  • Non-disclosure Agreements
  • Non-compete Agreements
  • Business Purchases, Sales and Combinations
  • Succession Planning
  • Dispute Resolution

Securities and Financial Services Expert Witness Services

  • We provide expert witness case and issue assessments, reports, written opinions and testimony on financial services and securities laws and regulations, compliance best practices, and on settled and nuanced requirements of SEC, FINRA and state laws and regulations.

Securities and Financial Services Corporate Internal Investigation Services

  • We conduct effective corporate internal investigations protected by the attorney-client privilege.

What’s your regulatory or business challenge?

Looking for solutions to regulatory or business law issues?
Call or email us today.

© 2021-2022 Max J. Mahoney, LLC. Boston-Based Securities Regulation and Business Law Firm