Legal Services Include:

~ Fund formation

~ Drafting and/or revising all offering documents for investment funds

~ Drafting and/or negotiating contracts including:

- investment management agreements

- side letters

- placement agent agreements

- administration agreements


- prime brokerage agreements

- software licensing, technology, and other service agreements

- employment contracts

-termination agreements

~ Reviewing marketing materials

~ Reviewing investor subscription documents

~ Liaising with outside counsel, portfolio managers and investors on various legal issues

Compliance Services Include:

~ Developing compliance programs for registered investment advisers

~ Drafting codes of ethics

~ Drafting compliance manuals

~ Drafting compliance procedures to ensure compliance with firm policies

~ Drafting risk assessment matrix

~ Compliance monitoring

- personal trading

- email review

- compliance calendar

~ Conducting annual compliance reviews

~ Conducting mock SEC audits

~ Drafting regulatory filings such as ADV Parts 1 and 2

~ On-site support during SEC exams

~ Drafting responses to SEC exam questions