Sample Engagements

Investment Manager/Fund Registrations

 

The key to entering new markets successfully: understanding ongoing administrative and compliance obligations; staffing or outsourcing those obligations efficiently; and not overspending on lawyers whose instinct is to gum up the process by over-analyzing forms and filings. We can walk you through this for a fraction of what big law firms would bill, all while delivering higher value and fewer headaches.

Compliance Program Execution

 

Dove-tailing with entry into new markets—including the United States—are questions surrounding compliance program execution and design. In the U.S., we guide investment managers through the SEC-registration and renewal process which by its nature intersects with compliance program requirements under the U.S. Investment Advisers Act. Globally, we ensure that the right local experts are identified while modulated time and money spent on each phase of program design and execution.

Enterprise Risk Assessment

 

In-house spend assessments typically should not be decoupled from a supportive, enterprise-wide understanding of risk. Real risk - the kind that could conceivably threaten business continuity and/or bottom lines. We have engaged some of the largest (and smallest!) asset managers in the world to refine their method of communicating about risk across affiliated legal entities.

In-House Legal Structuring & Spend Assessment

 

In-house engagements often begin with isolated risk assessments that generalize to a wide variety of workstreams. We can stop there and let a business draw its own conclusions and recommendations, or we can dig deep to see where outside counsel is spinning wheels on you. Either way, we bring a constructive attitude and eye toward leveraging strengths of existing employees.

Other Asset Management Industry Matters

 

Our lead consultant and network of advisors have deep experience in a broad array of asset management industry matters, particularly as such matters arise in connection with SEC-registered investment advisers that offer both private and registered funds globally. These core competencies are supplemented by years of both law firm and in-house experience managing corporate work and contractual matters germane to an enterprise evolving in today's financial industry. No matter the issue or type of contract, we can assist. Examples include:

Professional Transition Coaching

 

More Info Coming Soon! (Free for the Unemployed)