With an exclusive focus on the alternative investment management industry, we are closely in tune and aligned with regulatory developments that impact investment managers, including those originating from U.S.-based regulators (including the SEC, CFTC, FTC, NFA, FINRA, the Federal Reserve and OSHA) and abroad. 

In addition to understanding the nuances of marketing rules to ensure that communication programs do not trip any wires, we constantly monitor for updates and engage closely with legal professionals to understand the potential impacts they may have on our clients. Our alignment with our clients has even been demonstrated through direct engagement with regulatory bodies – see letter to the FCA regarding its ‘Name & Shame’ proposal in 2024.

We also have experience navigating crisis situations where law enforcement and federal agencies, including the DOJ, are involved.