The individual needs of the client will always form the basis of the relationship. Legal and compliance services can be provided on a particular matter, or on an on-going basis.
Compliance
Providing firms with individualized compliance solutions for their particular needs:
• Draft compliance manuals, policies and procedures
• Conduct compliance reviews and testing
• Prepare and file ADVs, updates
• Draft client agreements, codes of ethics, privacy policies
• Prepare and file initial registration filings
• Development and maintenance of firm’s compliance calendar
Regulatory Affairs and Litigation
When you need help after you’ve been contacted by a regualtor or have a legal matter:
• Representation in regulatory investigations, examinactions, and enforcement actions
• Outside counsel for regulatory affairs and securities law matters
Outside Counsel for Public Pension Funds
Counsel on matters regarding defined benefit and deferred compensation plans for small to mid size governmental entities
Provide advice and counsel to Boards of Trustees, Executive Directors, City managers, and in-house counsel on legal and policy issues
Review and negotiate contracts with outside providers