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We are a resource for in-house personnel on a wide variety of compliance matters. We have extensive experience in helping investment company complexes, investment advisers, and broker-dealers develop codes of ethics, insider trading restrictions, and other compliance policies and procedures. We also regularly conduct or assist clients in conducting self-examinations and internal compliance audits.
Many of our registered investment company and registered investment adviser clients have turned to us to assist them in developing and reviewing their compliance programs. Our approach varies from client to client, based on each client’s needs, resources, and staffing. Some of these engagements have been multiyear projects for some of the very largest mutual fund organizations, involving a team of over 25 lawyers (and elaborate secure electronic workrooms we have designed to manage the workflows), while others have been more targeted engagements spanning a few days or weeks and involving only a handful of our lawyers.