Securities & S.E.C.
- Investment Managers
- Hedge Fund Managers
- Venture Capitalists
- Wealth Managers
- Fintechs
- Broker-Dealers
Trusted by
- Investment Managers
- Hedge Fund Managers
- Venture Capitalists
- Wealth Managers
- Fintechs
- Broker-Dealers
At Westminster & Partners, our securities law team is dedicated to delivering unparalleled expertise in SEC advisory and regulation.
We understand the intricate regulatory frameworks that govern the securities industry and are committed to ensuring your business not only complies with these regulations but also thrives within them.
Our specialized approach provides strategic positioning in the market, safeguarding your interests while unlocking new opportunities for growth.
Securities and S.E.C. Department
- Investment Managers
- Hedge Fund Managers
- Venture Capitalists
- Wealth Managers
- Fintechs
- Broker-Dealers
SEC Registration and Compliance
- Assisting companies with the registration process, including preparing and filing Form ADV and other necessary documentation for investment advisers.
Regulatory Compliance Programs
- Developing and implementing compliance programs to ensure adherence to SEC regulations, including drafting policies and procedures manuals.
Corporate Governance
- Advising on best practices for corporate governance to meet SEC standards and enhance transparency and accountability.
Securities Offerings
- Providing guidance on structuring and executing public and private securities offerings, including initial public offerings (IPOs) and private placements.
Periodic Reporting and Disclosure
- Assisting with the preparation and filing of periodic reports required by the SEC, such as 10-Ks, 10-Qs, and 8-Ks.
Insider Trading Compliance
- Advising on compliance with insider trading laws and developing internal policies to prevent violations.
SEC Examination Preparation
- Preparing clients for SEC examinations and audits, including mock audits and compliance reviews.
Investment Adviser and Broker-Dealer Regulation
Form ADV is a critical filing for investment advisers registering with the SEC. It outlines the firm’s business practices, fees, and any disciplinary history, serving as a key document for regulatory compliance and investor transparency.
Our team conducts comprehensive mock audits and compliance reviews, simulating SEC examinations to identify potential issues and ensure your firm is fully prepared, reducing the risk of non-compliance.
Non-compliance can lead to severe penalties, including fines, sanctions, and reputational damage. It is crucial to adhere to all SEC regulations to maintain trust and avoid legal repercussions.
Establishing robust insider trading compliance policies helps protect your organization from legal risks and maintains the integrity of your financial operations, fostering trust among investors and stakeholders.
Corporate governance ensures that a company operates with transparency, accountability, and integrity, aligning with SEC standards and enhancing investor confidence.