Compliance Protection for Top-Tier Investment Advisers
Eccleston Law LLC is pleased to announce new compliance protection services for investment advisers with top-tier advisory practices who require more than cookie-cutter compliance programs, and who have the most to lose when something goes wrong or slips through the cracks!
High net worth advisers have more to lose, and thus more to protect. Only an attorney can render services with the full protection of the “attorney client privilege”, allowing us to candidly discuss the unique circumstances and the nuances, and protect our attorney “work product” from the regulators.
We have and will continue to protect top-tier advisers nationwide, and continue to provide an extra layer of protection to advisers currently working with non-lawyer compliance consultants, including helping advisers:
Review and consult regarding ADV filings in more complicated arrangements and situations;
Customize the Compliance Manual to fit the adviser’s practice and to allocate responsibilities between the adviser and various other third-party service providers;
Create more than a Buy-Sell Agreement / Business Continuity Plan, but instead develop a Succession Plan that makes sense for both the adviser and his/her high net worth clients;
Conduct a thorough and on-site annual review of the adviser’s compliance practices and procedures to protect the adviser’s interests (and not just the custodian’s interests);
Draft and review employment, confidentiality and non-compete agreements;
Prepare and review marketing and other materials to protect the adviser; and
Actively protect and defend advisers during state and SEC regulatory examinations.
