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!