Practice Areas

what we are expert at

Legal Practice Areas

OUTSOURCED GENERAL CORPORATE COUNSEL SERVICE

We serve as outside General Counsels and Chief Compliance Officers for financial services companies. Our extensive knowledge and experience in the financial services industry allow us to provide strategic advice and legal counsel.

INVESTMENT ADVISER REGULATORY COUNSEL

We have a Quick Action Team with extensive experience in dealing with regulatory examinations that provide effective regulatory responses on behalf of your financial and securities companies.

CORPORATE & BUSINESS FORMATION

We provide startup companies with the corporate investment adviser formation services and support they require to form a successful business. We represent businesses while continuing to provide corporate services.

INVESTMENT ADVISER MARKETING RULE COUNSEL

Our team is well-versed in IA Marketing Rule and can help you review policies, procedures, supervisory standards, performance advertising, testimonials, and solicitors agreements relating to endorsements and promotions.

CONTRACT REVIEW COUNSEL

We offer a wide variety of contract drafting services across the country and worldwide that are intended to assist clients in minimizing risks and managing all kinds of business agreements in an efficient manner.

DUE DILIGENCE COUNSEL

We provide compliance advice on federal securities regulations to those financial advisers and companies who conduct due diligence prior to business transactions, fund formation, corporate mergers, and securities purchases.

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