Lowenstein Sandler LLP, Investment Funds: Regulatory & Compliance

About

Provided by Lowenstein Sandler LLP

Proactive regulatory and compliance advice is core to our client approach. By immersing ourselves in the day-to-day operations of our clients' businesses, we provide ongoing, actionable, and effective compliance solutions. We are in the trenches with the GCs, CCOs, COOs, and CFOs, making their priorities our priorities.

We firmly believe that careful planning can avert potential problems that could distract our clients from managing their businesses, or even lead to regulatory or enforcement action.

We anticipate changes in regulatory focus and provide real-time, practical advice and guidance. When necessary, we also work closely with our enforcement defense team, including a number of former federal prosecutors, to address potential issues before they become real problems, mitigate impact, and provide successful outcomes.

Services include:

Investment advisor and CPO/CTA registrations
Compliance programs and policies
Mock examinations
Securities advice
Information evaluations and restricted lists
Trading and operational matters
Advertising/promotional materials
Section 13 and Section 16 reporting
AML/KYC compliance

Chambers Review

Provided by Chambers

Investment Funds: Regulatory & Compliance - USA - Nationwide

Band 3

What the Team is Known For

Lowenstein Sandler's team consistently demonstrates its ability to handle a plethora of regulatory and compliance issues. The team is called upon to advise clients on regulatory examinations and enforcement actions, as well as investment adviser and CPO registrations. The firm's clients include investment advisers and sponsors, among others.

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