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Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Legal Risk Management Tips | RIA, Private Fund, BD, etc.

Cybersecurity: Attacks, Risk Mitigation, and Regulatory Compliance

June 27, 2024 by

In an increasingly digital world, where financial transactions and sensitive information are often stored and transmitted electronically, investment advisers face a growing threat from cyber-attacks. The financial sector is a hot bed of sensitive personal and financial data making it a magnet for cybercriminals. … Read More

Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Legal Risk Management Tips | RIA, Private Fund, BD, etc.

So, You Have Been Sued…What Should You Do?

May 30, 2024 by

Litigation is a business risk that unfortunately most businesses will have to deal with at some point. Knowing what to do once you get sued and understanding the procedure will help make the process easier for you.  As your business grows, so does its chance of being involved in litigation whether it be with a former client or customer, a business partner, vendor, or an associate/employee. Despite the parties involved, as with any litigation, the plaintiff (the party filing suit) will have to serve process on the defendant (the party being sued). … Read More

Blog | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Regulatory Compliance

Concerns Over Compliance Responsibilities Cause Pause for Broker-Dealers Considering Independence

May 28, 2024 by

Broker-dealers seeking to transition to the independent business model – either as a hybrid (where they would remain associated with a broker-dealer) or fully independent (at an RIA-only firm) hesitate due to several key considerations.… Read More

Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Legal Risk Management Tips | Private Fund Counsel | RIA, Private Fund, BD, etc.

Securities Law Considerations for Investment Fund Formation: Part 1

March 26, 2024 by

Investment fund formation is the comprehensive process of establishing a collective investment vehicle that pools capital from multiple investors to engage in various securities or other financial asset investments. The primary goal is to provide investors with a professionally managed portfolio often designed to provide diversification, but equally as often to deploy funds into a specific asset class, or according to a particular investing philosophy, strategy, or methodology.… Read More

Client Contracts, Independent Contractor & Employee Agreements & Other Documents | Due Diligence Counsel | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Legal Risk Management Tips | Regulatory Compliance

Working with Outside Managers: Third-Party Asset Managers or Sub-Advisers – What is the Difference?

February 28, 2024 by

Investment advisers understand that selecting a portfolio which meets a client’s goals and objectives is a fiduciary duty. Sometimes, this involves working with outside managers such as sub-advisers or a third-party asset manager (“TPAM”) who have specialized investment management knowledge to further diversify a client’s portfolio investments. … Read More

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