Investment Advisor and Solicitor Formation and Compliance

Our attorneys assist both federal and state investment advisors and hedge fund managers to make sure they follow proper compliance guidelines. We help investment advisors and hedge fund managers form and register their firms, draft necessary legal documents, assist with compliance policies and procedures, train staff, and handle routine and complex litigation that may come up during the process.

When you work with Scarinci Hollenbeck, LLC, you get the benefit of our attorneys’ vast experience handling regulatory and compliance matters for the financial industry. You can rest assured and proceed confidently knowing that your firm is operating with adherence to applicable laws.