Fostering strong relationships to serve you better

Investment Adviser Formation, Registration and Compliance

Investment advisers are subject to many rules and regulations, including the Investment Advisers Act of 1940 (Advisers Act).  In addition, they must undergo a detailed registration process at the state and/or federal level. The Castle Law Firm helps investment advisers navigate the regulatory landscape from inception to registration, and provides guidance on continued compliance and any unexpected issues that may occur during the course of operations.

 

We will prepare and file your investment advisory registrations on both the state and federal levels (as necessary), including drafting your Form ADV and Forms U4 and U5—and we will act as your direct liaison between the applicable state and/or federal regulatory authorities. The Castle Law Firm also develops your required compliance policies and procedures programs, and drafts and reviews client-facing advisory agreements, employment contracts, and non-compete agreements.

 

Once you are up and running, The Castle Law Firm will be with you every step of the way to ensure continued compliance, and to tackle any challenges you may encounter.  If and when issues arise, we will be there to assist in compliance investigations and enforcement actions initiated by state agencies, the SEC and other self-regulatory organizations.  Some of the services we offer include:

 

  • Annual Compliance Program Reviews
  • AML Reviews and Compliance Training
  • Drafting Compliance Manual, Code of Ethics, and Policies and Procedures
  • Registration Services for Investment Advisers (SEC and State Registration, as applicable)
  • Mock Audits
  • Marketing Material Reviews