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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
The Integration of Operations and Business Management
July 22, 2019
Events
How to Survive & Thrive During your Next SEC Exam
July 22, 2019
Managing and Surviving an SEC Review
July 22, 2019
Blog
The CFP’s Revised Code of Ethics and Standards of Conduct Takes Effect
July 22, 2019
Events
Form ADV, Dramatic Change Ahead
July 19, 2019
Events
The Next Step in Compliance: The Integration of Operations & Business Management Planning
July 19, 2019
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