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We work with our investment adviser clients to develop compliance policies and procedures to address their unique circumstances.  We also advise clients on best-practice enhancements and help them develop specialized training programs.  In the international context, we draw on our partners’ extensive experience as founders of the SEC’s international enforcement and regulatory programs to find innovative solutions to complicated cross-border issues.

Publications

• "Big Love: SEC Introduces 'Large Trader' Reporting System" by Scott Budlong and Selina Tay
• "Registering Investment Advisers Take Note: Drafting Your Compliance Manual is Just the First Step Toward Satisfying the Compliance Rule" by Michael Mann, Eva Marie Carney and Kimberly Versace
• "Buying a Majority Interest in a Hedge Fund Manager: An Acquirer's Primer on Key Structuring and Negotiating Issues" by Scott Budlong, Eva Marie Carney, Thao Do, Eric O'Meara, William Orbe and Kenneth Werner published in The Hedge Fund Law Report

Presentations

• Eva Marie Carney presents “Integration of Technology and Compliance” at ACA Compliance Group Fall 2011 Conference

News & Announcements

• "SEC Examinations of Investment Advisers" webcast, co-presented by Eva Marie Carney, covered in The Hedge Fund Law Report