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