Registrations and licensing

We have advised on and managed filings for organisations seeking to become investment managers and broker-dealers. This included all aspects of the follow-up process, quarterly and annual reviews and amendments to the regulatory filings. We have advised on the registration of non-US firms as investment advisers with the SEC and the implementation and review of their compliance programmes.

Registration and licensing support

We can, with and for you:

• research, write and file applications for registration and licensing
• liaise with regulators
• implement and review compliance and monitoring programmes
• conduct periodic and annual reviews, including "mock SEC inspections"
• train directors, compliance officers (including the chief compliance officer) and operations and trading staff
• draft, implement and review codes of ethics (including PA dealing programmes)
• prepare for inspections and investigations