Macaluso LLP Corporate & Financial Law
Macaluso LLP Corporate & Financial Law

A Rare Depth Of Experience At The Highest Levels Of Business And Finance

Investment Management Regulation And Compliance

Macaluso LLP provides a full range of regulatory legal services to buy-side firms including investment advisers, broker dealers, commodities firms and registered and private funds regarding U.S. securities regulation and compliance, including advice on:

  • Compliance with federal and state laws regulating advisors, broker-dealers, private funds, registered investment companies, commodity trading pool advisers/operators, and wealth management firms
  • Regulatory reporting and filing requirements
  • Ongoing compliance and disclosure obligations, and fiduciary duties
  • Restrictions on public and private offerings
  • Management of regulatory enforcement liability.

Our experienced attorneys also advise on a firm’s regulatory requirements that pertain to fund administrators, custodians and assisting with investment and trading issue regardless of whether the underlying investments are public or private securities, commodities, or other financial assets. We also provide advice in connection with the operation of registered fund and ETF offerings under the Investment Company Act of 1940, listing on national exchanges, as well as advice concerning FINRA, SEC and bank regulatory requirements for wealth managers, including customer due diligence, trading and fund distribution issues for advisers, broker dealers and banks.