In the rapidly changing investment and regulatory landscape, clients focus on maximizing their returns while simultaneously minimizing their risk. Our team provides clients an integrated approach to investment management so that we are both protecting and growing their assets while ensuring they stay in compliance with the latest regulations.
Tarter Krinsky & Drogin’s Investment Management Practice advises clients on considerations relating to the rapidly evolving regulatory landscape relevant to a wide array of services, including registered investment advisers, domestic and offshore private investment funds, and broker-dealers. Our team’s fund experience covers many industries and asset-classes, including hedge funds, private equity funds, venture capital funds, real estate funds, and tax-advantaged funds, such as qualified opportunity zone funds.
Our Investment Management Practice combines a breadth of knowledge and experience across the Investment Advisers Act and related statutes and regulations to support advisers, fund managers, and investors with prompt and thoughtful guidance. Our services include:
- Creating the investment adviser structure, including entity formation, personnel issues, investment adviser registration, and exempt reporting adviser requirements
- Establishing the investment advisory relationship, including investment advisory agreements, advertising and solicitation matters, compensation and performance fee issues, and custody matters
- Maintaining the investment advisory operations, including compliance policies and procedures, trading policies, client privacy procedures, and U.S. Securities and Exchange Commission (SEC) inspections and investigations
We represent broker-dealers in all aspects of their operations and counsel clients on SEC, Financial Industry Regulatory Authority (FINRA), and state securities law compliance. Our team advises on:
- Clearing, prime brokerage, and other agreements
- Compliance with new regulatory enactments
- FINRA continuing membership applications (CMA’s) and changes to FINRA membership agreements
- Foreign broker-dealers who operate in the U.S. under “chaperone” agreements
- Hiring and terminating employees, including issues related to Form U-5 disclosures
- Investment banking activities
- Arbitrations and other SEC and FINRA disciplinary matters
- New membership applications for start-up broker-dealers
