The regulatory environment for investment advisers has never been more complex or hazardous. Determining whether an investment adviser must register at the federal or state level (or qualifies for full or partial exemption) is a multi-faceted process. If registration is necessary, the initial regulatory filings, as well as the ongoing reporting requirements and compliance obligations, demand robust procedures and the establishment of a “culture of compliance” within the organization and among its staff.
Perricone Law has a long history of representing registered investment advisors at both the federal and state levels. We have been working with registered investment advisers dating back to 1993 – well before Dodd-Frank came along. We can provide upfront registration guidance, help you navigate reporting and legal compliance issues once registered, and assist with SEC or other regulatory exams - which have become a routine aspect of regulatory compliance and enforcement.