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
- ISDAs
- 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