Regulatory Compliance
The U.S. securities regulatory landscape is complex and continues to evolve. Increasing regulatory demands can impose significant costs of non-compliance on fund managers and other financial industry participants.
Reitler’s Regulatory Compliance team provides practical and effective compliance consulting and regulatory advisory services to registered and exempt fund managers, investment advisors, family offices, and other types of asset managers and investors in all jurisdictions. We work side-by-side with clients to help them navigate complex U.S. regulations and capitalize on new business opportunities.
The team’s services include:
- Providing advice regarding securities law and SEC guidance
- Federal and state investment adviser registrations and registration exemptions
- Designing compliance manuals and codes of ethics that enable clients to meet fiduciary and legal requirements
- Preparation and filing of state and federal registration forms, such as the Form ADV
- CFTC/NFA registration and exemption filings
- Optimizing marketing materials to help fund managers raise capital in the U.S. while complying with U.S. regulations
- Advising on governance, conflicts of interest, and risk management issues
Leveraging extensive knowledge and experience to minimize the risk of regulatory and enforcement actions
related attorneys
Anisha Mirchandani
Associate
Andrew S. Burchiel
Counsel
Todd W. Bonder
Of Counsel
Ishpuneet (Ish) Chhabra
Counsel
David Richardson
Partner
Samuel W. Hargrove
Associate
Lauren Friend McKelvey
Partner
Dilawar Fazal
Associate
Ishara Quick
Associate
Vincenzo Paparo
Senior Counsel
Serge D. Nehama
Senior Counsel
Joseph Choi
Partner
John (Jack) P. McKay
Associate
Henry Nahm
Associate
Crayton L. Bell
Senior Counsel
Jesse Nash
Partner
Robert W. Clarida
Partner
Michael Hirschberg
Partner
Paul V. LiCalsi
Partner
Brendan M. Davey
Partner
Brian D. Caplan
Partner
Andrew Baraff
Partner
Richard D. Martinson
Partner
Gregory A. Petroff
Partner
John F. Watkins
Partner
Jonathan E. Silverblatt
Partner
Peter W. Rothberg
Partner
Edward G. Reitler
Partner
Jocelyn L. Jacobson
Partner
Amos S. Edelman
Partner
Christopher S. Edwards
Partner
Brett VanBenthysen
Associate