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Financial Services

Keeping Service Providers Compliant

Our goal is to provide practical and up-to-date advice to help ensure our Financial Services clients are in compliance with an array of complex laws and regulations.

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In order to assist our clients in the Financial Services field, our team of knowledgeable and experienced lawyers offers an extensive range of services specifically aimed at keeping clients current with new regulations and provisions, and compliant with existing requirements. For example, we have recently advised a number of investment advisers regarding compliance with the SEC’s revised custody rule, and we are currently advising managers to private funds regarding possible federal or state investment adviser registration as a result of enactment of the Dodd-Frank Act.

Our services include the following:

  • Analysis of possible exemptions from registration.
  • Assistance with SEC or state registration, if required.
  • Development of regulatory-compliant contracts and forms for use in the client’s business.
  • Development and review of compliance policies and procedures.
  • Interpretation of regulatory provisions.
  • Assistance in responding to regulatory inquiries.

To discuss your company’s specific legal needs, and how we might meet those needs more effectively and responsively, please contact any member of our team.

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