We assist registered advisers and firms in the investment management sector, including the SEC and state-registered advisers, with the numerous and frequently changing government controls that exist at the intersection of commerce and compliance.

Our broad scope of services includes:

  • Ongoing compliance counseling
  • Preparation and review of compliance policies and procedures
  • Advising with regard to investment advisory agreements, record-keeping, soft-dollar transactions, principal and agency transactions, sub-advisory arrangements, allocation practices, and insider trading policies
  • Offering guidance during contract negotiations with retail and institutional investors, custodians, brokerage firms and solicitors
  • Registration filings