We have advised on and managed filings for firms seeking to become investment advisers and broker-dealers. This included all aspects of the follow-up process, quarterly and annual reviews and amendments to the regulatory filings. We have advised on the registration of firms as investment advisers with the SEC, the FCA and the SFC and the implementation and review of their compliance programs.
We can, with and for you:
- research, write and file applications for registration and licensing
- liaise with regulators
- implement and review compliance and monitoring programs
- conduct periodic and annual reviews, including mock exams
- train Boards of Directors, compliance officers (including chief compliance officers) and operations and trading staff
- draft, implement and review codes of ethics (including PA dealing programs)