Securities Law
Mr. Ziaukas assists investment advisers and broker-dealers in meeting their SEC, FINRA, and state regulatory and compliance obligations as well as ensuring their smooth daily operations.
Key Services in Securities Law and Compliance for Investment Professionals
- Assisting asset managers in determining and implementing SEC or state registration as investment advisers.
- Preparing and filing Form ADV.
- Counseling clients during SEC examinations.
- Advising brokers and selling agents on SEC registration and FINRA membership requirements.
- Preparing and filing Form BD.
- Drafting investment management, broker, and selling agent agreements.
- Developing and implementing compliance procedures, including AML obligations and privacy policies.
- Addressing unforeseen compliance issues.
