We counsel investment advisers and broker-dealers on compliance with the complex and comprehensive federal and state regulatory schemes. We recently helped a number of investment advisers achieve compliance with new SEC rules requiring written compliance policies and procedures and a code of ethics. Our lead senior attorney in this area, Jeffrey P. Somers, has more than 30 years of experience.
Our services include:
Our goal is to provide practical advice to compliance with an array of complex regulations.
To discuss your company's specific legal needs, and how our experienced attorneys might meet them more efficiently and responsively, please contact Jeffrey Somers.
