Investment Management

John and Greg have over 50 years of experience in asset management and financial services, providing legal and compliance services for leading financial services companies such as Franklin Resources, Transamerica, and the Principal Financial Group.  Our services cover all aspects of the business of investment advisers, including the following:

  • Preparing federal and state registration filings
  • Advising on the formation and operation of advisers
  • Providing and negotiating advisory contracts
  • Drafting compliance policies and procedures
  • Preparing and conducting annual and mock compliance reviews
  • Advising on operations and regulatory affairs
  • Providing guidance on mergers and acquisitions
  • Providing guidance on delivering investment services to mutual funds, variable products and retirement plans
  • Representing firms and investment adviser representatives before regulatory bodies
  • Drafting and reviewing Form ADVs

We also provide services to independent and affiliated broker-dealers in matters that include, among other services, the following:

  • Organizing new broker-dealers, including registration with the SEC and FINRA
  • Providing advice regarding FINRA rules, including licensing, trading, customer rules, permissible compensation, and records retention
  • Establishing, maintaining and monitoring Written Supervisory Procedures
  • Conducting comprehensive FINRA Rule 3010 Internal Audit and 3310 Anti-Money Laundering Audit
  • Providing counsel regarding SEC rules, including net capital, soft dollars, and conflicts of interest
  • Advising on the regulatory aspects of mergers and acquisitions involving broker-dealers
  • Preparing contracts with vendors and clearing brokers

To schedule a consultation with John or Greg, call Carter Reymann Law today.