When some of the securities industry’s most prolific firms need collaboration with in-house counsel or assistance with legal project management, or when investment advisers need to augment the capabilities of their trusted local counsel, we respond to the call. We have represented some of the nation’s leading financial institutions – from independent investment advisers and broker-dealers to RIA custodians to family offices – with some of their most challenging legal issues.
Investment Advisor and Broker-Dealer Compliance
- Registration and Regulatory Filings
- Regulatory Compliance
- Regulatory Examinations
- Client Agreements
- ERISA and Fiduciary Responsibilities
- Arrangements with Service Provider and other Industry Professionals
- Compliance Meetings
- Policies and Procedures
Regulatory Controversies and Dispute Resolution
- Response to Inquiries from Securities Regulators
- Regulatory Inquiries and Examinations
- Client Complaints and Settlements
- Disciplinary Proceedings
- Enforcement Action Representation
- Ongoing Relations with Regulatory Authorities
- Industry Defense Arbitration
- Settlement Negotiation
- Civil Litigation
Corporate Counsel
- General Corporate Matters
- Governance
- Contractual Relations
- Employment Relations
- Succession Planning and Transition Strategies
Securities Transactions & Regulation
- Private Placements
- Venture Financing
- Blue Sky