Investment Adviser Regulatory Counsel

SEC, State, and FINRA Exam Preparation

It can be very challenging to prepare for regulatory examinations conducted by the SEC, FINRA, or the state. The Team at MAH Advising, LLC (“MAH”) has a wealth of experience managing regulatory examinations and can help you with the following:

  • Personnel training and mock interviews
  • Assessing documents and books before submission
  • Advice on how to get ready for an on-site inspection and what to expect when it happens
  • Representation before and during the examination
  • Addressing letters of regulatory deficiencies

Effective and Timely Responses to Official Queries

When responding to inquiries from the SEC, FINRA, or other regulatory bodies, it is especially important to be prompt, thoughtful, and accurate when addressing each issue or flaw. This is especially the case if there are claims of securities law violations. MAH understands and knows our clients’ businesses. This makes it possible for us to respond quickly and effectively to regulatory questions and claims at the state and federal levels. With years of experience responding to SEC, FINRA, and other government inquiries, MAH is ready to address any issues or claims, such as:

  • Fiduciary duty violation
  • Hasty misrepresentation
  • Account turnover
  • Unlicensed trading
  • Making inappropriate investments
  • Insider trading
  • Inadequate supervision of registered representatives
  • Insufficient or incorrect due diligence
  • Unregistered securities
  • Unregistered securities
  • Manipulation of the market
  • Failure to adequately disclose risks associated with investments or properly advise clients of those risks
  • a lack of diversification and/or an excessive concentration of securities
  • Improper sales techniques
  • Reducing customer complaints or incorrect disclosures

Efficient Enforcement Counsel on Your Side

We sincerely hope that a regulatory examination or investigation will not result in enforcement. However, if this occurs, you must have the assistance of the SEC and state regulatory counsel. Whether you decide to file a Wells notice, engage in settlement negotiations, or move forward with an administrative proceeding, our attorneys are prepared to offer you advice on how to proceed.

MAH provides timely and effective regulatory responses on behalf of broker-dealers, investment advisers, hedge fund managers, and other clients in the financial and securities industry throughout the United States.

  • Adviser Regulatory Compliance Services
  • Compliance Marketing Reviews and Performance Advertising Disclosures
  • Due Diligence
  • Regulatory Assessment and Enforcement Counsel
  • Internal Controls, Policies, and Procedures in Writing
  • Developing and Managing Broker-Dealer Compliance Programs
  • Contracts, agreements, and other legal documents
  • ADV Form and Disclosure Documents
  • Risk Management
  • Counselor for the Family Office