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Investment Adviser Compliance
Overview
Our investment adviser team provides comprehensive legal services to investment advisers and family offices navigating complex regulatory environments. We support investment advisers as they operate and grow their businesses — whether locally, nationally, or globally. We provide strategic guidance on developing and implementing compliance policies and procedures and ensuring adherence to new and existing SEC regulations, fiduciary duties, and disclosure requirements. Our team, which includes former in-house counsel and regulators, is experienced in guiding clients through SEC inspections and examinations and corporate reorganizations. We offer advice to investment advisers’ legal and compliance groups in their ongoing risk management assessments, counsel on privacy and security protocols, and operational matters.
Insights & Events
Latest
Podcast
January 2026
SEC Marketing Rule Risk Alert and FAQs—Oh My!
The Securities Compliance Podcast | Compliance in Context
1 min read
Published Articles
December 2025
ExxonMobil’s Retail Voting Program: Case Study in Private Ordering
The Investment Lawyer
1 min read
Updates
November 2025
2026 SEC Examination Priorities
Additions and Exclusions Show Transition From Past Stated SEC Exam Priorities
4 min read
Podcast
August 2025
Gwen Williamson Discusses AI, Digital Assets, and SEC Priorities on the GRIP. Podcast
1 min read
Updates
June 2025
SEC Policy Change for Closed-End Funds Will Enhance Individual Access to Private Markets Investments
Including for 401(k) and IRA Investors
7 min read
Updates
May 2023
SEC Examinations Division Issues Risk Alert on Safeguarding Customer Records and Information at Branch Offices
5 min read
Insights
Podcast
January 2026
SEC Marketing Rule Risk Alert and FAQs—Oh My!
The Securities Compliance Podcast | Compliance in Context
1 min read
Published Articles
December 2025
ExxonMobil’s Retail Voting Program: Case Study in Private Ordering
The Investment Lawyer
1 min read
Updates
November 2025
2026 SEC Examination Priorities
Additions and Exclusions Show Transition From Past Stated SEC Exam Priorities
4 min read
Podcast
August 2025
Gwen Williamson Discusses AI, Digital Assets, and SEC Priorities on the GRIP. Podcast
1 min read
Updates
June 2025
SEC Policy Change for Closed-End Funds Will Enhance Individual Access to Private Markets Investments
Including for 401(k) and IRA Investors
7 min read
Updates
May 2023
SEC Examinations Division Issues Risk Alert on Safeguarding Customer Records and Information at Branch Offices
5 min read
