Syndicate Legal & Financial

INVESTMENT ADVISOR LEGAL & COMPLIANCE:​

 

Our team counsels clients on a broad range of regulatory and operational issues facing registered and unregistered investment advisers. We represent registered investment advisers of all sizes and in all stages of development, from inception and initial registration with either the SEC or applicable state securities law regulators, through multistate expansion and advisory product innovation. With the advent of more aggressive SEC audits and enforcement, we are experienced in responding to the SEC and working out acceptable solutions to audit issues raised by the SEC. We also advise clients regarding the mandatory IARD electronic filing system for investment advisers.

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We are uniquely qualified to represent investment fund managers and investment advisors, including their principals, registered representatives, and compliance personnel, hedge fund sponsors and managers, and other industry participants with regard to regulatory compliance.

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Our clients use our experience and knowledge to their advantage.  We are able to offer counsel to newly-formed and existing companies on compliance issues including:  

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• Securities Act of 1933

• Securities Exchange Act of 1934

• FINRA rules and regulations

• Municipal Securities Rulemaking Board rules and regulations

• Commodity Exchange Act

• National Futures Association rules and regulations

• Investment Company Act of 1940

• Investment Advisers Act of 1940

• Sarbanes-Oxley Act of 2002

• Dodd Frank and Wall Street Reform Act

• USA PATRIOT Act

• Bank Secrecy Act

• NYSE, NASDAQ Stock Market, Inc. and other exchanges rules and regulations

• Securities Investor Protection Corporation (SIPC) rules and regulations

• Other applicable Federal and state laws

 

We advise clients and work closely with their compliance staff to assist in developing and implementing programs, policies and procedures to ensure adherence to rules and regulations.  We are also available to evaluate and revise a firm’s existing compliance program.

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Our goal is always to increase a client’s ability to comply with applicable rules and regulations, thereby reducing the risk of investigations and enforcement actions down the road. When an inquiry, investigation or enforcement action arises, we can assist in preparing a response to an inquiry, represent you or your firm in an investigation, defend you or your firm in an enforcement action, prepare you or other personnel for on-the-record testimony as well as negotiate a settlement, such as an Acceptance, Waiver and Consent (AWC) with FINRA or make a Wells Submission on your or your firm’s behalf to the regulatory authorities.  We have experience working with the SEC, FINRA, the CFTC, NFA, state and other regulatory agencies.  Should you or your business face any of these regulatory issues we will work strategically to reduce the affects as soon as possible.

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Your business might also be subjected to a regulatory examination or audit. We can assist you in anticipation of an SEC, FINRA or other regulatory exam or audit by reviewing submissions and working with you and your staff to prepare them for an on-site inspection.

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The financial services industry is heavily regulated and those involved must abide by the rules in order to succeed.  If you are an investment fund manager, investment advisor, investment adviser representative, hedge fund organizer or manager, it is imperative to have seasoned counsel when embroiled in a compliance matter.  

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