MAH Advising for Investment Advisers: Conformity Protection

A new regulatory protection service has been introduced by MAH Advising for advisers in the investing track with top-tier practices. These advisers have the most at stake when something goes wrong or slips through the cracks because they need more than cookie-cutter basic program.

Top-tier advisers, as well as those currently working with attorneys, would have MAH Advising’s expert advise on various aspects of regulatory counsel. For example, we can help: 

  • Providing advice on complex arrangements and situations requiring ADV filings;
  • Advisers to customize your regulatory guidelines to fit their practice and to assign responsibility among themselves and third parties;
  • Make a succession plan for the adviser, not just a buy-sell agreement/business continuity plan;
  • Protect the adviser’s interests (and not just the custodian’s), conduct a thorough and on-site review of the adviser’s regulatory practices.
  • Review and draft employment, non-compete agreements, and confidentiality;
  • Create marketing materials and review them for protection of the adviser; and
  • Ensure that advisers are adequately protected and defended during regulatory examinations by state and SEC agencies.

Get the protection you need today with MAH Advising!