Conducting due diligence on investments, professionals, and crucial service providers is vital. Conducting sufficient due diligence is a fiduciary duty for investment advisers.
We at MAH Advising, LLC (“MAH”) provide guidance to those who conduct due diligence in advance of your business transactions, fund formation, corporate mergers, and securities purchases. Our attorneys have a comprehensive understanding of the securities industry. We have provided compliance advice on federal securities regulations to hundreds of investment advisers, private equity/hedge funds, broker-dealers, and professional financial advisers.
Our corporate and securities attorneys and professionals can perform research on third-party service providers, investment opportunities, and the key players involved with those potential investments to give you the background information you need before beginning your next venture. We can check the following during this process:
Some clients want to buy a pre-existing broker-dealer shell. Others want to improve their current compliance programs. Whatever you decide, MAH can assist you by:
The securities industry requires trust, and MAH is aware of this, but the only way to confirm their reliability and stay out of trouble with federal securities regulations is to conduct due diligence on business partners and projects.