Growing and maturing advisers face unique challenges. They have small business considerations such as contracts, employment issues, and risk management, but they are immersed in a highly-regulated environment with shifting business, regulatory compliance and legal challenges. Add to that entity lifecycle matters such as continuity and succession and our role as our clients’ most trusted advisor becomes an obvious one. We help our clients navigate those arduous and time-consuming legal issues, so they can focus on growing a profitable business.
Investment Adviser Registration and Compliance
- Registration and Regulatory Filings
- Regulatory Compliance
- Regulatory Examinations
- Client Agreements
- ERISA and Fiduciary Responsibilities
- Service Provider Contracts
- Policies and Procedures
Regulatory Controversies and Dispute Resolution
- Securities Regulator Examinations, Inquiries and Enforcement Proceedings
- Client Complaints and Settlements
- Disciplinary Proceedings
- Ongoing Relations with Regulatory Authorities
- Industry Defense Arbitration
- Settlement Negotiation
- Civil Litigation
Corporate Counsel
- General Corporate Matters
- Business Governance
- Contractual Relations
- Employment Relations
- Succession Planning and Transition Strategies
Business Transactions
- Business Combinations and Reorganizations
- Mergers and Acquisitions
- Financing
Intellectual Property
- Trademark Registration
- Trademark Monitoring
- Dispute Resolution
