Regulatory and Compliance Services

• Customized investment advisory agreement, financial planning agreement, insider trading policy, best execution policy, disaster contingency plan, privacy procedures, initial and annual privacy statement, proxy voting policy and code of ethics all of which have survived SEC scrutiny.
  
  
• In-person mock audits to remedy any potential compliance violations.
  
  
• Counsel and protect your firm during SEC and state audits.
  
  
• Serve as virtual "in-house counsel" providing legal and compliance services on a project or on-going basis.
  
  
• Draft responses to SEC and state based deficiency letters.
  
  
• Perform annual license renewal tasks including electronic filing of Form ADV via the Investment Adviser Registration Depository (IARD).
  
  
• Prepare U- 4 and U- 5 forms for all investment advisor representatives via the Central Registration Depository (CRD).

Litigation Defense Services

• Litigation avoidance strategies and risk assessment reports.
  
  
• Vigorous litigation defense.
  
  
• Defense of SEC enforcement actions.
  
  
• Advocacy services during SEC and state audits.