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Our Firm
Services
Mergers & Acquisitions
+
Mergers & Acquisitions Transactions
Succession Planning & Counsel
Corporate & Business Formation
Transition & Breakaway Services
Regulatory Compliance Counsel
+
Regulatory Examinations & Enforcement Counsel
FINRA Broker-Dealer Regulatory Counsel
Investment Adviser Regulatory Counsel (SEC & State)
AML Regulatory Counsel Services
IA Marketing Rule Counsel
Corporate & Securities Litigation
+
Mediation and Arbitration
General Litigation
SEC and FINRA Enforcement
Expert Witness
U4/U5 Expungement
Private Funds & Transactions
+
Private Fund Formation
Private Fund Operations
Private Fund Counsel
Investment Transactions
General Corporate Counsel
+
Outsourced General Counsel
General Corporate Counsel
Contract Review
Family Office Counsel
Insights
Events
Get In Touch
Request A Strategy Call
Home
Events
Events
Events
Creating a Business and Compliance Risk Inventory
July 29, 2019
Events
Vulnerable Investors
July 29, 2019
Events
Considerations for Advisers with Aging Clients
July 29, 2019
Events
Fall Compliance Workshop
July 29, 2019
Annual Reviews & Risk Assessments
Effective Testing Ideas for Your Annual Review
July 29, 2019
Events
Regulatory Examinations
July 29, 2019
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