Asset Manager Focused: Securities Law, Corporate Governance, Best Practices Compliance and Operations across Framework, Augmentation or Ongoing Bespoke Support
Across front, middle and back office framework, separation of controls, policies and procedures. We help to project the infrastructure today’s sophisticated investors and regulators seeks to mitigate business and legal risk. Better managed firms create better returns & increase the likely-hood of success.
Our partners’ complementary and deep expertise across fund manager offering structures, securities law, and marketing strategy-solicitation framework means an economies of scale alternative to tackle multi-faceted legal and business matters;
We provide top tier (in the trenches) hands on legal and business expertise across the interconnected legal and business function of building, managing and projecting safety of assets for every phase of an advisory firm’s life-cycle;
AFC professionals with two decades of multi-faceted alternative asset manager Securities law, Corporate law, and fund manager business experience and expertise.
Notable Area of Expertise. Deep asset management executive level GC, COO, CCO corporate-securities law, business strategy, infrastructure, fund formation, operations, compliance across inception, growth or institutional level best practices front-middle and back office expertise across teams, people, trade framework and counter-parties. Securities, Investment Advisers, Investment Company, Exchange Act, FINRA, CFTC, fund manager expertise on corporate-securities matters, agreements, trade-firm operations, enterprise risk management, and diagnostic analysis, due diligence, governance, trade processes, investor – marketing relations, solicitation process, marketing execution and distribution across high net worth, family office and institutional investors.