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.
Kathryn Beller’s services cover the full range of duties typically assigned to a Chief Compliance Officer, compliance consultant, or corporate and regulatory counsel.
Compliance Services
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- Serving as Chief Compliance Officer.
- Serving on management and securities valuation committees.
- Registering new investment advisors with the Securities and Exchange Commission and the States of New York and Connecticut.
- Developing and updating customized compliance manuals and codes of ethics.
- Creating recordkeeping systems; organizing and evaluating existing systems.
- Preparing and filing annual registration renewal documents and updating amendments, including Part 1 and new Part 2 of Form ADV.
Fund Formation / Dissolution
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- Preparing and reviewing domestic and offshore fund documents, including offering memoranda, subscription agreements, and third-party administration agreements.
- Shuttering advisors and domestic and offshore funds.
Derivatives and Options
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- Preparing and negotiating ISDA master agreements, representing both Party A and Party B.
- Preparing securities repurchase agreements.
- FINRA Series 4 licensed (Registered Options and Security Futures Principal).
Review and Testing
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- Performing annual compliance reviews, forensic testing, and independent anti-money laundering audits.
- Providing experienced guidance during regulatory examinations, including responses to regulatory deficiency letters.
- Conducting mock regulatory examinations and compliance assurance reviews.
- Reviewing advertising and sales material for compliance and adherence to federal and state securities laws relating to investment advisors and broker-dealers.
- Documenting compliance with codes of ethics.
- Preclearing personal securities transactions by statutory access persons.
- Monitoring electronic communications for compliance, regulatory, and human resources issues.
Corporate Agreements
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- Performing routine corporate legal duties, including the preparation and review of confidentiality agreements, employment agreements, term sheets, and stock option plans and agreements.
