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In the compliance and regulatory arenas, we advise on Securities and Exchange Commission (SEC) and state investment advisor registration issues, perform independent audits to identify potential compliance risks, and assist clients in developing appropriate policies and procedures. We routinely provide counsel regarding the Investment Advisers Act and various aspects of the Dodd-Frank Act. Our corporate, tax, ERISA, CFTC, and FERC professionals are regularly called on to provide compliance and regulatory advice on a full range of issues. When clients are faced with enforcement actions, we deploy a dedicated team of lawyers with prior enforcement experience at the SEC and Department of Justice.

Experience

Recent Notable Matters

Alternative capital provider — compliance-related matters for real estate developments, middle-market companies and high net worth families

Asset manager — compliance-related matters for entity that manages over $5.5 billion in assets under management in private equity funds in upstream oil and gas business investments

Asset manager — compliance-related matters in connection with its portfolio of real property development assets

Asset manager — acquisition of a large SEC-registered investment advisor focused on sourcing and managing real estate and related equity, debt and hybrid investments

Asset manager — compliance-related matters for entity that advises private funds investing in middle-market distressed, catalyst-driven and capital structure arbitrage strategies

Asset manager — compliance-related matters for entity that manages investments in various strategies including U.S. equities, international equities, balanced equities and master limited partnerships

Investment advisor — compliance-related matters for entity that manages hedge funds and separately managed accounts that generally employ a credit-related investment strategy and exceed $2 billion in assets under management

Investment advisors — compliance-related matters for entity managing more than $700 million in assets in alternative investments

Investor — potential investment as a minority limited partner in a partnership formed for developing, leasing, operating and ultimately disposing of residential projects throughout the U.S.

Management team — spin out from a significant asset management firm

Private equity advisor — compliance issues related to advising power and infrastructure funds

SEC registered advisors — compliance-related matters for entity managing private equity and hedge funds focused on distressed and special situations tied to the municipal market

Various investment advisers — SEC examinations

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