INVESTMENT ADVISORY LAW

Cohen & Buckmann’s Investment Advisory practice advises registered investment advisers in legal, regulatory and compliance matters. Drawing on years of experience as outside counsel and in in-house leadership positions, including chief compliance officer and general counsel, Cohen & Buckmann’s attorneys are known for their deep understanding of the finance industry and the numerous complex state and federal compliance issues. We provide clients of all sizes with strategic advice and counsel throughout the lifecycle of their businesses, from inception through maturity to dissolution, as well as advice and structuring of mergers and acquisitions. 

Regulatory and legal changes continue to impact the industry each year. Cohen and Buckmann’s Investment Advisory lawyers evaluate each client’s unique business and operations and develop and maintain comprehensive customized compliance programs. 

Cohen & Buckmann’s Investment Advisory practice provides services that include:

  • Applying and registering investment advisory firms and individual investment advisers with federal and state regulatory agencies

  • Handling all aspects related to drafting, revising, filing and updating Form ADV and CRS

  • Developing comprehensive compliance and testing programs

  • Performing annual compliance reviews, risk analyses and preparing for compliance meetings and reporting

  • Drafting firms’ Code of Ethics and evaluating employee compliance 

  • Creating client communications, advisory contracts and client onboarding questionnaires

  • Designing policies and procedures including drafting and reviewing marketing collateral, performance advertising and regulation S-P Privacy Notices and procedures.

Cohen & Buckmann also provides ERISA compliance and fiduciary counseling to registered investment advisers, which includes:

  • Negotiating and reviewing service agreements to maximize protections

  • Developing best practices and good plan governance to limit fiduciary liability exposure

  • Advising clients on how to structure investment funds to avoid fiduciary status

  • Helping clients qualify as qualified plan asset managers.