INVESTMENT ADVISORY LAW

Cohen & Buckmann’s Investment Advisory practice advises RIAs in legal, regulatory and compliance matters. Drawing on experience 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 investment adviser industry and numerous complex state and federal compliance issues. We provide clients with strategic advice and counsel to all aspects of their businesses, from inception through maturity to dissolution, as well as advice and structuring of mergers and acquisitions.

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

  • Providing “fractional general counsel” services to RIAs and their management; supporting business, operational and employment decision making.

  • Drafting employment and independent contractor agreements; advising on employment and separations.

  • Providing advice to RIA executives and employers regarding restrictive covenants for incoming employees and negotiating exits.

  • Supporting management through SEC and other regulatory exams and other regulatory issues.

  • Drafting and review of investment management agreements, vendor, transactional and other contracts, including client communications, and onboarding questionnaires

  • Handling all aspects related to drafting, revising, filing and updating Form ADV and CRS and Form U-4.

  • Reviewing and developing comprehensive compliance and testing programs, and performing annual compliance reviews, risk analyses and preparing for compliance meetings and reporting

  • Drafting and providing advice regarding Code of Ethics compliance and monitoring.

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

  • Navigating and resolving client complaints.

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.

Practice Area Key Contact:

Lauri London
Director of Investment Advisory Law Practice
212-489-9618 (extension 4)
lauri@cohenbuckmann.com