SERVICES FOR:
All SEC-Registered Investment Advisers
- SEC registration;
- General legal advice/fractional general counsel services;
- Data privacy; and
- AML-KYC compliance.
Private Fund Advisers
- Services for “All RIAs” (see associated tile);
- Fund formation & offerings;
- Limited partner matters, e.g., side letters and co-investments; LPACs;
- Coordinating/managing SEC examinations; and
- Coordinating the firm’s operational due diligence (ODD) by prospective limited partners.
Wealth Managers & Family Offices
- Services for “All RIAs” (see associated tile)
- Investment committee support;
- Third-party manager diligence;
- Distribution and placement agreements;
- Trust governance and investment mandate compliance;
- Handling SEC examinations; and
- Private fund and investment operational due diligence (ODD), and subscriptions.
RIA Regulatory Compliance
- Ongoing compliance support;
- Compliance risk assessments, program and policy design and implementation;
- Form ADV and PF filings;
- Evaluation, monitoring & testing;
- Annual 206-4(7) compliance reviews;
- Vendor diligence;
- Cybersecurity & data protection;
- Marketing Rule compliance; and
- Insider trading and MNPI controls.
Digital Asset Regulation
- Advice regarding FINCEN & SEC regulation of digital assets and digital asset sponsors and service providers;
- Representation in digital asset-related enforcement actions.
Representation in SEC Enforcement Matters
- Representation of SEC registrants, officers and directors, securities industry and other professionals; and
- Representation in digital asset-related enforcement actions.
Private Investment Matters for Ultra-High Net Worth Clients
- Shareholdings in closely-held and family companies;
- Issues or disputes arising after the sale of a company or its assets; and
- Private fund and investment operational due diligence (ODD), and subscriptions.