We assist registered advisers and firms in the investment management sector, including the SEC and state-registered advisers, with the numerous and frequently changing government controls that exist at the intersection of commerce and compliance.
Preparation and review of compliance policies and procedures
Advising with regard to investment advisory agreements, record-keeping, soft-dollar transactions, principal and agency transactions, sub-advisory arrangements, allocation practices, and insider trading policies
Offering guidance during contract negotiations with retail and institutional investors, custodians, brokerage firms and solicitors
