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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.
