Syndicate Legal Advisory Services combines market insight with extensive legal and regulatory experience to assist investment advisers in connection with their businesses.   

Syndicate Legal Advisory Services represent investment advisers (SEC & FINRA) involved in a wide range of activities. Some of the services we provide to our investment adviser clients include:

• Federal and state registration, including drafting of Form ADV;

• Advising on ongoing operational and compliance issues;

• Drafting and reviewing compliance policies and procedures;

• Drafting and negotiating investment advisory, licensing, sub-advisory, service and other agreements;

• Reviewing advisers’ advertisement, model performance data and Global Investment Performance Standards (GIPS) compliance;

• Advising on the sales, acquisitions and mergers of investment advisory businesses and assignment of contracts;

• Assisting with preparations for regulator examinations, responding to adverse findings and negotiation the terms of resulting actions; and

• Providing counsel in connection with arbitration proceedings and litigation.

 

Due to Syndicate Legal Advisory Services' extensive experience, we are able to navigate through the legal and regulatory issues facing an investment adviser in setting up its business, dealing with ongoing operational and compliance concerns, marketing and a range of investment and product structuring activities. 

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Syndicate Legal Advisory Services also works with a variety of clients to analyze their organizations’ practices and structures to determine whether they fall within the definition of “investment adviser” under the Investment Advisers Act of 1940 and whether they are eligible from an exemption from registration.

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Notes:

• Available with all Syndicate Legal Advisory Services' - Business Subscription Plans (not a standalone service)

• Syndicate Legal Advisory Services' - compensation for capital markets advisory services:

  • Syndicate Legal Advisory Services receives securities equal to three percent (3%) of each class or type of securities sold or otherwise issued by the client company in any private or public offering, financing, or capital raise.​

  • Does not include any compensation that will be paid to any FINRA Registered Broker Dealers, Registered Investment Advisors and/or Market Makers.

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