Legal Advice and Guidance for Firms and Individuals in the Financial Services Industry
Navigate the complexities of Asset Management, Securities Regulation and Business Law with confidence. Our firm offers specialized legal services tailored to meet the unique needs of the financial services industry.
Legal and Compliance Services for Firms and Individuals in the Financial Services Sector
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
Legal and Regulatory Counsel for New Business Initiatives
- Analyze and design compliance and supervisory procedures and other control systems
- Draft and update procedures, agreements, and required disclosures for changing business and regulatory climate
Legal Agreement Review and Drafting:
- Investment management, consulting and referral agreements
- Sub-advisory and Separate account agreements
- Wrap-fee program agreements
- Unified managed account agreements
- Client agreements and related disclosures
- Vendor and technology agreements
- Employment agreements
- Non-disclosure agreements
- Agreements limiting competition
Services for Firms and Individuals Engaged in the Financial Services Sector
- 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 and Arbitrations
- Regulatory Inquiries, Examinations and Enforcement Matters with the SEC, FINRA, States, and other regulators
- 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, states and other regulatory bodies.
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 enforcement and compliance matters, including litigation, subpoenas, inquiries, examinations and reviews. Each of these matters can be managed best with thoughtful factual presentations and skillful legal reasoning.
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 counsel and chief compliance officer for many firms, including several broker-dealers and investment advisers, funds, 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 and businesses in the financial services sector. The Firm represents businesses of all sizes, from start-up to established national and multinational entities.
The Firm advises Clients in all aspects of general business law, including:
- General Corporate Legal Matters
- New Entity Planning and Formation
- Governance Issues
- Employment Contracts
- Client Agreements
- Vendor Contracts
- Non-disclosure Agreements
- Non-compete Agreements
- Business Purchases, Sales and Combinations
- Succession Planning
- Dispute Resolution and Litigation
Financial Services Sector 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, many of which can be protected by the attorney-client privilege.
Schedule Your Consultation Today
Navigate the complexities of financial services regulation and business law with confidence. Our experienced legal and compliance team is ready to assist you in meeting your needs and achieving your goals. Contact us to discuss your specific concerns and how we can assist you.