Investment Advisory Services
Broker-Dealer Regulation and Compliance
Graydon Head & Ritchey has provided legal counseling with the formation of and ongoing compliance matters pertaining to regulatory authorities and their establishment and initial registration of broker-dealers. We have also worked with broker-dealer firms, banks and other financial institutions in developing policies and procedures designed to achieve compliance with applicable securities laws and subsequent rules and regulations including all aspects of U.S. federal and state securities and commodities laws. These have involved regulation by the national securities exchanges, the NASD and other self-regulatory organizations, assisting them with regulatory audits, continuing education, licensing and enforcement matters.
Investment Adviser Regulation and Compliance
Our attorneys represent registered investment advisers in all areas of their operations. The Investment Adviser Regulation and Compliance practice also involves representing advisers before the SEC, CFTC and the Department of Labor. We have experience in the establishment and initial registration phase, acquisitions by fund advisers of investment advisory businesses, and any on-going compliance and regulatory issues that may arise. We have the capabilities to provide these services to many investment advisers at a great savings over the cost of hiring and maintaining a legal department. We represent large advisors with significant internal legal capabilities who seek to leverage our extensive experience in complex issues and the latest developments, as well as medium size investment advisory firms, where we have been able to offer legal guidance in respect to numerous transactions involving the purchase, sale, or merger of investment advisory practices.
Mutual Funds and Hedge Funds Regulation and Compliance
Our attorneys assist a wide range of clients who deal with investment opportunities and various products which are associated. We counsel and represent clients on investment adviser, investment company, and broker-dealer regulatory issues; related matters affecting banks and pension funds; and other matters involving investment and financial products. Our attorneys understand the complex securities laws directly affecting our clients' businesses including the compliance provisions of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934 and the Securities Act of 1933, and subsequently are able to assist in the operations and activities associated with the establishment of those funds.
Our attorneys represent all kinds of clients on mutual and hedge fund regulation and compliance, some of our clients include: mutual fund and investment companies, investment banking firms, banks and trust companies, insurance companies, investment advisers, and broker-dealers.