Compliance

The firm’s attorneys design policies and procedures tailored to an investment advisor’s particular investment strategy, marketing, operations and overall business, including custody policies, compliance manuals and associated training, surveillance and annual audits and periodic testing, best execution (as well as allocation and other securities-trading-related matters), valuation, restricted lists, preparation for audits, including regulatory audits and proceedings, books and records retention, proxy voting, AML, KYC and privacy matters, advising on issues primarily relating to the SEC and FINRA guidelines encompassing the Investment Advisors Act and broker dealer regulation. We advise on related regulatory matters, such as investment advisory and broker-dealer registration, including preparation and initial filing of ADV Parts 1 and 2, as well as annual and periodic filings.

The firm also helps investment advisers and financial services clients to design, implement and monitor policies and procedures tailored to the development of investment products and services, as well as their associated marketing initiatives. The firm keeps abreast of regulatory developments, covering CFTC, FTC, SEC, FINRA, MSRB, bank and state regulatory guidelines and industry standards, such as GIPs. The firm also has attorneys who provide supervisory “Series 24 principal” services for certain clients.

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