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Broker-Dealers

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Broker-Dealers

For broker-dealers exploring distribution relationships with sponsors of private investment funds we offer supplementary due diligence services free of conflicts of interest. We lean heavily on our team’s collective experience advising private funds to spot red flags and areas of potential concern.

Broker-dealers are under increasingly more scrutiny to undertake adequate due diligence on private investment products distributed through their platforms. Recent FINRA enforcement actions have highlighted the importance of avoiding problematic offerings. Conducting thorough due diligence is the best way to avoid civil liability and regulatory scrutiny.

Our attorneys and compliance professionals have years of experience working with private securities offerings and can add valuable resources to augment your due-diligence team on an “as needed” basis.

We offer the following conflict-free, due diligence services to broker-dealers:

  • Background checks on a sponsor’s key principals and officers
  • Legal reviews of offering and governance documents and relevant agreements
  • Confirmations of service provider relationships
  • Compliance reviews of necessary registrations, licenses, and affiliations
  • Review of “blue sky” compliance and filing status

 


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