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.

Take advantage of the protection today.

PROPRIETARY PRODUCT CONCERNS

 

 

 

TESTIMONIALS

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This was the best of all possible outcomes and I cannot thank you and the team enough.

Michael S.

LATEST NEWS AND ARTICLES

September 21, 2023
SEC Charges Private Equity Firm Over Fee Disclosure Failures to Affiliate

The Securities and Exchange Commission (SEC) has charged Prime Group Holdings LLC, a private equity firm specializing in alternative real estate asset investments, with
inadequate disclosure of millions of dollars in real estate brokerage fees paid to a brokerage firm owned by its CEO.

September 20, 2023
SEC Orders Legendary Capital Founder and REIT Advisors to Pay Nearly $5 Million

Corey Maple, co-founder of non-traded REIT sponsor Legendary Capital, has agreed to a $100,000 civil penalty to settle charges brought by the Securities and Exchange Commission (SEC).

September 19, 2023
Reg BI Violations Lead to FINRA's Fine on Another Broker-Dealer

The Financial Industry Regulatory Authority (FINRA) has fined and censured broker-dealer Network 1 Financial Securities and its chief compliance officer for violating Regulation Best Interest (Reg BI).

TESTIMONIALS

Previous
Next

Thank you so very much for your guidance, patience, and expertise.

Beth and Steve K.

LATEST NEWS AND ARTICLES

September 21, 2023
SEC Charges Private Equity Firm Over Fee Disclosure Failures to Affiliate

The Securities and Exchange Commission (SEC) has charged Prime Group Holdings LLC, a private equity firm specializing in alternative real estate asset investments, with
inadequate disclosure of millions of dollars in real estate brokerage fees paid to a brokerage firm owned by its CEO.

September 20, 2023
SEC Orders Legendary Capital Founder and REIT Advisors to Pay Nearly $5 Million

Corey Maple, co-founder of non-traded REIT sponsor Legendary Capital, has agreed to a $100,000 civil penalty to settle charges brought by the Securities and Exchange Commission (SEC).

September 19, 2023
Reg BI Violations Lead to FINRA's Fine on Another Broker-Dealer

The Financial Industry Regulatory Authority (FINRA) has fined and censured broker-dealer Network 1 Financial Securities and its chief compliance officer for violating Regulation Best Interest (Reg BI).