Frequently Asked Questions

Contact Kathryn Beller for additional information or to request a complimentary telephone consultation.


PRACTICE LIMITED TO
NEW YORK AND CONNECTICUT

Prior results do not guarantee a similar outcome.

 

How do I know whether my investment management firm needs to register with the SEC or a state? How do I know which one?
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Which security industry licenses do I need to act as an investment advisor?
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Do I have to hire a professional to serve as my Chief Compliance Officer? Can’t I do that myself?
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How often will I work with you versus junior associates?
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How is having a lawyer as my firm’s compliance officer different than having a compliance advisor or consultant?
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What is GIPS verification? Do I need to be concerned with it?
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What basic steps should I take to minimize my firm’s risk?
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My firm is just starting out. Isn’t standard compliance documentation available on the Internet?
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