Our attorneys work with financial services professionals, including investment advisers, their investment adviser representatives, compliance officers, registered representatives, accountants, financial planners, and others regarding their advisory activities and investment adviser compliance issues.
Formation or organization of investment adviser businesses and registration with the SEC or state regulatory bodies
Consultation involving Form ADV, Schedules and amendments
Preparation and review of account documentation, investment advisory and financial planning services agreements
Compliance with the Investment Advisers Act of 1940, other federal and state laws and regulations governing investment advisers and their representatives
Internal reviews and investigations of policies and procedures violations
Preparation and review of compliance manuals, supervisory policies and procedures including anti-money laundering, business continuity, code of ethics, document retention, e-mail communications, personal securities holdings and transactions, privacy, proxy voting, insider trading
Consultation regarding marketing materials, reporting and recordkeeping requirements, fiduciary duties, soft dollar issues, best execution obligations, third-party solicitors and referral fees
Representation in responding to queries, investigations by regulatory authorities
Preparation for audits and other regulatory examinations
Assistance in resolving enforcement proceedings
Our business and international law attorneys assist clients with legal matters in Maine, New Hampshire, all of New England, throughout the United States and Europe - including Central and Eastern Europe and Russia - the Middle East and Asia.
