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