Advise on complying with securities regulations from a cost and operational perspective, managing risk, and implementing best practices.
EXPERTISE AND HANDS ON ASSISTANCE WHERE YOU NEED IT MOST
THROUGH STRATEGIC PARTNERS, WE PROVIDE SOPHISTICATED AND CUTTING EDGE TRANSACTIONAL, REGULATORY, COMPLIANCE AND ENFORCEMENT SERVICES TO FINANCIAL INSTITUTIONS ALL OVER THE WORLD.
Sophisticated corporate counsel, including, the structure and formation of any new venture, preparation of agreements, and day-to-day business and legal advice.
EXPERIENCE AND SOPHISTICATION OF A LARGE TOP-TIER FIRM WITH THE PERSONALIZED FOCUS AND HANDS-ON ATTENTION ONLY A BOUTIQUE FIRM CAN OFFER FOR LEGAL ADVICE IN ALL MATTERS INVOLVING THE SECURITIES INDUSTRY
Representation in investigations and enforcement proceedings brought by the SEC, state securities commissions, FINRA and other self-regulatory organizations.
Structure, organize and launch flexible pooled fund structures in a variety of investment strategies, vehicles, industry sectors and jurisdictions.