Investment Adviser Formation, Regulation and Compliance

Parker MacIntyre advises existing and start-up investment advisers, including advisers required to be registered with the Securities and Exchange Commission or with one or more state regulatory agencies. The landscape of regulation in this area of law is constantly shifting, requiring in most instances a comprehensive knowledge of both federal and state law and regulation, the use of mandated forms, depositories and filing procedures, and both formal and informal practices relating to examinations, audits, reporting, accounting, gate-keeping, advertising, custody and other matters. We can help with everything from choice of business entity and governing documents, to constructing a compliance framework including written supervisory procedures, to preparing for audits and defending enforcement actions.