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Investment Regulations

Investment Regulations

Graydon’s investment management group has extensive experience with the regulatory and legal issues affecting our investment adviser and mutual fund clients.

Our team, amongst other things, will assist registered investment advisers with:

  • Registration under federal and state securities laws;
  • Preparing and reviewing advisory contracts, customer disclosure documents, and contracts with service providers;
  • Reviewing and providing advice regarding advertising and marketing materials;
  • Preparing compliance policies and procedures and developing compliance systems, as well as serving certain advisers through our sister company, Graydon Compliance Solutions, LLC;
  • Providing ongoing compliance with state and federal securities laws, including the Investment Advisers Act of 1940; and
  • Preparing for and responding to regulatory examinations and enforcement investigations and proceedings.

Graydon also represents various mutual fund trusts and their boards of trustees. Our practice involves many aspects of the investment company business, including, but not limited to:

  •  Organizing and registering new funds;
  • Providing ongoing advice and representation to the funds and their advisers, directors, and distributors;
  • Advising mutual fund boards on regulatory and corporate governance matters;
  • Responding to regulatory issues raised by SEC staff; and
  • Developing compliance systems and regulatory controls