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.
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.
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.
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.
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.