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In-house counsel and managing directors at hedge funds, funds of funds, private equity funds, venture capital funds, investment advisers, broker-dealers, insurance companies, pension plans and investment banks regularly rely on the Investment Management Group to help them navigate the increasingly complex legal and regulatory landscape affecting their day-to-day business. Our clients benefit from our team’s long experience and extensive knowledge of applicable federal and state laws, rules and regulations, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940, ERISA, the USA PATRIOT Act and other anti-money laundering laws, and the Gramm-Leach-Bliley Act and related privacy laws. We closely track state and federal developments that could affect our clients' businesses and advise our clients accordingly.
Our services include:
- Creating compliance programs for investment advisers and broker-dealers, including the preparation of codes of ethics and operating procedures
- Advising on conflicts of interest, including valuation and allocation of investment opportunities
- Counseling clients on third-party marketing, web site design and presentation
- Assisting broker-dealers with disclosures, commission-sharing agreements and adherence to best execution requirements
- Advising on anti-money laundering requirements
- Preparation and review of customer agreements
- Advising on investment adviser and broker-dealer best practices, registration and disclosures to clients
For a more detailed overview of our Regulatory and Compliance practice, please click here.
For a Primer on Investment Adviser Registration Requirements, please click here.
For a Primer on the Dodd-Frank Wall Street Reform and Consumer Protection Act, please click here.
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