PRACTICE AREAS

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.