Investment Adviser Formation and Regulation

Much like broker-dealers, investment advisers must also register with the SEC and/or state regulators before they are able to start doing business. Our securities attorneys have experience in representing investment advisory firms in all aspects of their business, including:

  • Investment adviser formation, structuring and operation;
  • Federal and/or State Registration Filings;
  • Assisting investment advisers with state, federal and international licensing and registration requirements including SEC, CFTC, state securities regulator registrations and FINRA membership;
  • Developing compliance policies and procedures, including advising clients on compliance issues related to soft dollars, codes of ethics, advertising requirements, trade allocation, and custody requirements;
  • Assisting with Form ADV disclosures, including adviser registrations via web-based IARD system and responses to SEC deficiency letters;
  • Drafting Investment Advisory Agreements;
  • Personnel issues including employment, consulting and compensation agreements;
  • Assisting with all aspects of operations and regulatory affairs, including investment adviser advertising, performance and website issues, Code of Ethics issues and broker-dealer affiliation issues.
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