SEC and state registered investment advisors face a complex and ever-changing regulatory environment. Our firm's Business Law Group helps clients design compliance policies and procedures appropriate to the size and nature of their business. We avoid over-engineering processes so they can comply more easily and with as little interruption to their day-to-day activities. We also help our clients with ongoing compliance monitoring and reporting.
- A SEC-registered investment advisor, with approximately $1 billion in assets under management, needed a general counsel to handle compliance and other corporate matters. Hemenway & Barnes created compliance policies and procedures and keeps them up to date when regulations change. We also organized and maintained their pooled investment vehicles, which included drafting private placement memorandums, governing documents and securities law compliance policies.
- A SEC-registered investment advisor with institutional clients came to Hemenway & Barnes for counsel. Our attorneys organized and maintained a number of pooled investment funds for socially responsible investment, drafting fund documents and ensuring compliance with securities laws.