Investment Management Services

We help design and implement effective compliance programs to keep abreast of legal developments at the state and federal level. We are experienced in the representation of investment advisers in proceedings with the Securities and Exchange Commission (SEC) and state securities administrators. We assist with filing and registration obligations at the state and federal level, and provide ongoing counseling regarding compliance responsibilities under applicable state and federal law.

We also offer “mock” SEC examinations to help clients prepare for actual regulatory examinations and act as advocates for our clients responding to SEC deficiency letters. Although most issues raised by the SEC or state securities administrators for our clients are fairly routine, on occasion examinations uncover more serious violations or deficiencies. In these cases, we work closely with clients and regulatory authorities to correct the deficiencies and avoid enforcement actions.