We provide our investment advisory clients with a full range of legal services. We assist these clients with their formation and registration under federal and state securities laws. We also provide advice to these clients regarding:

  • advisory contracts with clients;
  • disclosure documents;
  • compliance with state and federal securities laws, including the development of compliance policies and procedures and codes of ethics, as well as the performance of compliance audits;
  • trading and reporting requirements (including insider trading obligations);
  • advertising and marketing activities, including website and performance disclosures and solicitation arrangements with third parties;
  • establishing “wrap fee” and other managed account programs;
  • change of control issues;
  • ERISA and tax matters; and
  • employment and general business matters.
  • We also offer a wide range of compliance support services to our investment management clients. For additional information, please click here.

We assist these clients in reviewing potential investment and other products.

We prepare requests for exemptive relief and no-action letters and seek other relief for these clients from the SEC. We assist these clients in preparing for SEC staff inspections and with responding to SEC staff deficiency letters. We also provide advice in connection with SEC enforcement actions.