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Lawrence Kamin’s Securities practice group—keenly aware of the interrelationship of the regulations that guide investment advisors, broker-dealers and investment companies—regularly represents investment advisor firms on regulatory and non-regulatory matters.
We assist clients to create and operate investment advisor firms that comply with federal and/or state registration and regulation. We’ve helped firms create and implement compliance and control systems, prepare for and respond to regulatory examinations and prepare and supplement regulatory notices and filings. We often work with clients to negotiate and document investment management agreements, and have advised them concerning the sales and acquisitions of investment advisory businesses.
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