The attorneys at DWH Legal understand that registered investment advisors (RIAs) are presented with many challenges. Among other obligations, as an RIA you are required to have compliance programs designed to prevent violations of the Investment Advisers Act of 1940 (Advisers Act) and various other rules and regulations, prepare and file special reports with the SEC, provide clients with written disclosure statements, and create/enforce a code of ethics governing employees. As attorneys whom have worked for some of the largest financial institutions as well as the SEC, we have extensive experience with not only the Advisers Act but the rules and provisions specific to RIA’s, the Securities Act of 1933, Securities Exchange Act 1934, FINRA’s regulations and state securities laws.
Our attorneys have helped RIA’s deal with everything from formation to complex litigation and regulatory and compliance issues. We have extensive experience in:
- Preparing and filing investment advisory and securities industry registrations on both state and federal levels including Forms U-4 and U-5 and the Form ADV
- Developing compliance policies and procedures
- Drafting and reviewing advisory agreements
- Drafting and reviewing employment contracts, non-competes and non-solicitation agreements
- Advising on compliance examinations, investigations and enforcement actions initiated by the SEC, FINRA, state regulatory agencies and other self-regulatory organizations
With the changes in the securities industry RIA’s are becoming more and more popular. However, RIA’s are closely regulated not only by the SEC but often times by state securities regulators. Our attorneys have helped RIA clients better understand the constantly shifting regulatory landscape impacting RIA regulatory compliance. Please contact us for more information about our registered investment advisor formation and compliance practice.