Important Considerations for Your Initial Examination Document Request

In a perfect world, your preparation for a regulatory exam would begin no later than the first day your firm is open for business. Every adviser registered under Section 203 of the Investment Company Act of 1940 (the ’40 Act) is required to make and keep accurate books and records relating to its investment advisory business.

Read More

Assembling the Right Legal Team for Your M&A

Mergers and Acquisitions are often exciting and pivotal events in a company’s history, no matter which side of the equation your company is on.

But Mergers and Acquisitions can also be complicated, time consuming, and expensive. Whether it is a share exchange, asset purchase, share purchase, or merger, it is important to ensure that business transactions are done correctly, while minimizing risk.

Read More

1 2 3 4 38