SERVICES
- SEC registration
- Representation of SEC registrants, officers and directors, securities industry and other professionals
- General legal advice/fractional general counsel services
- Data privacy
- AML-KYC compliance
- Coordinating/managing SEC examinations
- 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
- Insider trading and MNPI controls
- Investment committee support
- Third-party manager diligence
- Distribution and placement agreements
- Trust governance and investment mandate compliance
- Private fund and investment operational due diligence (ODD), and subscriptions
- Fund formation & offerings
- Limited partner matters, e.g., side letters and co-investments; LPACs
- Coordinating the firm's operational due diligence (ODD) by prospective limited partners
- Advice regarding FINCEN & SEC regulation of digital assets and digital asset sponsors and service providers
- Representation in digital asset-related enforcement actions
- Shareholdings in closely-held and family companies
- Private investment-related issues and disputes
- Private fund and investment operational due diligence (ODD), and subscriptions
