Legal, Compliance & Regulatory Services

Whether you are starting an advisory practice, maintaining and enhancing your compliance program and processes, or looking to monetize your practice through an asset purchase of merger, turn to Reymann Law Group to assist you wherever you are in your practice lifecycle.

We also can partner with you and your team to develop and implement a customized compliance solution where the majority of the effort is outsourced to us. We provide a qualified Chief Compliance Officer (CCO), and we work with you to satisfy your advisory compliance needs on an on-going basis. We will keep you fully-informed…

Investment companies or mutual funds are primarily regulated by the US Investment Company Act (’40 Act). The ’40 Act’s complex, highly technical provisions can be challenging for both innovative startups,  and long-established industry participants, and investment adviser who strive to sub-advised the fund. 

All registered Investment advisers are also businesses and therefore it is critical that the adviser is represented in the following areas:
Contracts: Reviewing, drafting, and negotiating legally-binding agreements on behalf of the corporation, which could involve everything from lease agreements to multi-billion dollar acquisitions;

Outsourced General Counsel is an extension of your team. Outsourcing your General Counsel is an affordable yet highly effective way to manage the legal aspects of a business.  In order to effectively maintain the company’s legal standing, a General Counsel has to fulfill a wide variety of duties and responsibilities that touch every department. The…

Regulatory exams do not have to be stressful; instead they can be a time to shine!  We have handled numerous regulatory exams and understand exactly what the regulators are looking for and how to dialogue and communication with them.  Here are the key points for any examination: SEC examinations are administered by the Office of…