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Investment Management Compliance
Overview
In the highly regulated financial markets, we help you assess and mitigate compliance and regulatory risks through ongoing risk management assessments and regular counsel on internal protocols for meeting fiduciary, disclosure, and other regulatory obligations. We advise investment companies, their boards and advisers, as well as broker-dealers, commodity pool operators and trading advisors, and distributors on establishing and assessing compliance policies and procedures. We conduct risk management assessments for regional and national firms, including those with foreign operations, to evaluate and address conflicts of interest, breaches of fiduciary duty, and securities law violations. Our attorneys help draft and implement policies and procedures across the range of compliance risks.
