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SEC Deficiency Letter
Blog | Investment Adviser Regulatory Counsel (SEC & State) | Other | Regulatory Examinations & Enforcement Counsel

Important Actions to Take When Responding to an SEC Deficiency Letter

February 10, 2022 by

A deficiency letter from the SEC isn’t the end of the world. A significant majority of firms find one in their mail months after examiners have come and gone. The most SEC common findings include compliance shortcomings related to the protection of senior investors, business continuity plans, and cybersecurity. … Read More

Understanding Elements the SEC is Trying to Identify During an Examination
Blog | Investment Adviser Regulatory Counsel (SEC & State) | Regulatory Examinations & Enforcement Counsel

Understanding Elements the SEC is Trying to Identify During an Examination

January 20, 2022 by

Undergoing a visit and/or an examination from the U.S. Securities and Exchange Commission (“SEC”) can be daunting, confusing, and draining. Firms throughout the industry are told that preparation is vital to successful SEC interactions, but how do you know what to prepare for? What steps do you need to take to minimizing the chances of your firm not receiving a deficiency letter with a long list of infractions. … Read More

Important Considerations for Your Initial Examination Document Request
Blog | Regulatory Examinations & Enforcement Counsel

Important Considerations for Your Initial Examination Document Request

November 15, 2021 by

In a perfect world, your preparation for a regulatory exam would begin no later than the first day your firm is open for business. Every adviser registered under Section 203 of the Investment Company Act of 1940 (the ’40 Act) is required to make and keep accurate books and records relating to its investment advisory business.

… Read More

Support and Counsel to Boards of Directors, Board Committees and Executives
Blog | Mergers & Acquisitions

Support and Counsel to Boards of Directors, Board Committees and Executives

September 30, 2021 by

When considering a merger, acquisition, or divestiture, significant responsibility rests with a company’s managers and board of directors. Much is at stake for the firms, employees, and shareholders or members involved. Minimizing and mitigating company risk is essential toward achieving a successful transaction and affecting a seamless transition.… Read More

Assembling the Right Legal Team for Your M&A
Blog | Mergers & Acquisitions

Assembling the Right Legal Team for Your M&A

September 24, 2021 by

Mergers and Acquisitions are often exciting and pivotal events in a company’s history, no matter which side of the equation your company is on.

But Mergers and Acquisitions can also be complicated, time consuming, and expensive. Whether it is a share exchange, asset purchase, share purchase, or merger, it is important to ensure that business transactions are done correctly, while minimizing risk.

… Read More

Financing, Capital, and Ownership Structures
Blog | Mergers & Acquisitions

Financing, Capital, and Ownership Structures

September 9, 2021 by

Corporate transactions categorized as Mergers & Acquisitions (“M&A”) generally include asset purchase agreements, mergers, reverse mergers, stock purchase agreements, share exchange agreements,  consolidations, tender offers, and other transactions involving the combination of two or more companies.  A transaction can fail to meet expectations when too much time is spent determining how much to pay for an acquisition and not enough thought given to how the deal will be financed. In this section, we’ll review various ways capital can be used to fund an acquisition and some of the most common business ownership structures.… Read More

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