Regulatory

We're Here to Help

We have expertise advising clients on corporate, securities, commodities and derivatives regulatory and operations matters with particular emphasis on the organization, operations and regulatory compliance of investment management firms, private equity, venture capital and hedge fund sponsors and broker-dealers.

We also advise clients on the regulatory matters associated with mergers and acquisitions involving regulated entities, Investment Company Act analyses and new securities product development. We offer our clients experienced, practical and personalized solutions, not just technical legal advice, to enable our clients to best achieve their business goals in a highly regulated environment.

Our experience includes:

  • Initial SEC registrations
  • FINRA membership
  • Development of compliance programs
  • Substantive reviews of operating and compliance policies and procedures
  • Compliance training programs
  • SEC and other regulatory examinations
  • Regulatory reporting (e.g., 13D, 13F, 13G, 13H, Form PF)

Meet The Team