CCO On-Call: Legal Services for RIAs

Your Outsourced CCO

We know… You’re tired of talking to a bunch of lawyers that constantly put you through bureaucracy and red tape.

You pay a big invoice. You get passed around. Too much time goes by… And you still don’t have the answers that you’re looking for.

This is what you get with the big law firms. It takes way too long to get shit done.

Maybe you don’t have enough legal needs to pay for a full-time in-house team. But calling in people for one-off jobs can be expensive.

You want someone that knows your business. Someone that knows you and understands your unique needs.

That’s where we come in.

We do the legal lifting for you. We work hard to make sure that our values of integrity, accountability, and providing excellent service align with… you not wanting a huge ass bill at the end of every month.

Our CCO On-Call Service

What if you had access to a compliance attorney for 15 hours a month at a flat rate to cover any of your legal needs?

That is what our CCO On-Call service offers. A subscription legal service that offers you access to a compliance attorney for 15 hours every month.

You can use these hours for ANYTHING:

• You’ve got a client complaint and you’re in arbitration? Covered.
• Acquiring a firm and you need an asset protection agreement? Covered.
• You need a new IAR agreement? Covered.
• You need a PPM drafted? Covered.
• You need E&O Insurance Renewal? Cyber Insurance? Covered.
• You need someone to do the corporate governance? Still covered!

We become a LEGAL PARTNER for your firm. An extension of your team.

You build a relationship with the team that will KNOW YOUR BUSINESS and help you LONG TERM.

Need more hours in a month? We got you. As a member of our subscription service you lock in our reduced hourly rates.

Whatever your legal needs, our legal team has the knowledge and experience to get you the best outcome.

Comprehensive General Counsel Services

Our General Counsel services for financial advisers include:

• Arbitration, mediation, and litigation
• Employment and human resource matters
• Contract drafting, review, and negotiation
• Corporate governance matters
• Executive issues and compensation
• Mergers and acquisitions
• Privacy and data security
• Risk management
• Private Funds
• FINRA Expungements
  

Mediation, Arbitration, And Litigation

Legal action is an unfortunate part of doing business as a financial adviser. You might find yourself on both sides of legal issues throughout your career. Our legal team can represent you whether you are defending your actions or want to hold another party accountable.

Most cases can be settled successfully through mediation or arbitration. However, if the case needs to go to trial, My RIA Lawyer can move forward with litigation. We can represent you in court, or supervise or evaluate local or special counsel. Regardless of your choice, we will assist in ensuring that you receive proper representation during the case.

Employment and Human Resource Matters

We protect your firm while handling employment and human resource matters. This includes employee terminations, hiring, and retention. If done incorrectly, you could face lawsuits or unemployment claims. Our legal team can also assist with non-compete and non-solicit agreements to ensure that former employees don’t steal clients from your firm. Without such agreements in place, your firm could hemorrhage clients and money.

Proper workplace training is also essential when hiring employees for your RIA or BD. Your employees must understand the laws and guidelines for RIA compliance and BD compliance. Our General Counsel team can train them. We’ll actually help create the employee handbook to ensure it includes everything necessary to protect your company.

Contracts

Ironclad, favorable contracts are the foundation of a successful RIA. Your General Counsel for registered investment advisors can negotiate, draft, and review contracts on your behalf. This can include license agreements, non-disclosure agreements, professional service agreements, and more. With our attorney’s help, you will enter agreements that will hold up in a court of law. These agreements will protect your rights and interests, so you can grow your business.

Corporate Governance Matters

General Counsel for RIAs and BDs play a vital role in assisting with corporate governance matters. For example, the General Counsel can draft minutes at board meetings. The attorney can also prepare your firm’s corporate governance documents, draft and administer equity plans and advise on officer and director fiduciary duties and exposure to claims. It’s easy to stay within the law and comply with guidelines when you have access to our General Counsel subscription services.

Executive Issues and Compensation

In the dynamic landscape of registered investment advisers, Executive Issues and Compensation hold paramount importance. Navigating the complexities of compensation structures, performance incentives, and regulatory compliance demands astute legal guidance.

Our Counsel for Executive Issues and Compensation delivers comprehensive advice in aligning executive remuneration with company goals, ensuring adherence to pertinent laws and regulations.

We offer tailored solutions for equity-based compensation, deferred compensation plans, and executive contract negotiations, safeguarding your organization’s interests while maintaining ethical standards.

Mergers and Acquisitions

The realm of Mergers and Acquisitions (M&A) necessitates meticulous legal oversight. Our adept team specializes in facilitating seamless transitions, addressing legal intricacies, and mitigating potential risks in M&A transactions.

M&A Legal Counsel is integral to assessing due diligence, structuring agreements, and orchestrating negotiations. Our experienced attorneys collaborate across departments, ensuring compliance with regulatory frameworks and safeguarding your interests throughout the process. With a deep understanding of financial intricacies, we strive to optimize outcomes while upholding the highest standards of professionalism and integrity.

Privacy and Data Security

In the digital age, safeguarding sensitive information is paramount. Our Privacy and Data Security Counsel offers insightful guidance to registered investment advisers in managing data privacy challenges and complying with evolving regulations.

We assist in crafting robust privacy policies, conducting audits, and implementing measures to fortify data security. Through adept legal strategies, we address intricate matters like data breaches, consent mechanisms, and cross-border data transfers, empowering you to maintain client trust and meet stringent compliance standards.

Risk Management

Effective risk management is the cornerstone of a resilient registered investment adviser. Our Risk Management Counsel aids in identifying, assessing, and mitigating legal and operational risks, bolstering your organization’s stability.

From regulatory compliance to dispute resolution, our experienced Risk Management Attorneys collaborate with your team to implement proactive strategies. By offering strategic advice and navigating complex legal frameworks, we enable you to make informed decisions that align with your organization’s objectives, ensuring a robust risk management approach.

Private Funds

Establishing and managing a private fund comes with various challenges and risks that can impact your clients’ investments and your reputation.

We can assist you in every step of the process, from forming the fund and raising capital to ensuring compliance and preparing contracts. Unlike other firms, we stay involved as your trusted partner throughout the lifecycle of your private fund.

Our ongoing legal support is essential for the success of your private fund. We review promotional materials to ensure compliance, answer investor and operational questions, and help modify the funds when necessary. Additionally, we conduct due diligence to vet potential investors and assess their eligibility and risk factors.

FINRA Expungements

Navigating the complexities of the expungement process often requires legal representation. Our experienced FINRA expungement lawyer understands the regulatory framework, procedures, and strategies for presenting a compelling case. We can help financial professionals effectively present their arguments and evidence to increase their chances of a successful expungement.

If you’re a financial professional seeking to safeguard your reputation and ensure an accurate representation of your record, reach out to discuss your options. Our dedicated team will guide you through the FINRA expungement process with tailored strategies to address your specific situation.

Safeguard Your Investments with My RIA Lawyer

At My RIA Lawyer, we understand the intricate legal challenges that registered investment advisers face. Our team of experienced compliance attorneys are dedicated to providing you with exceptional counsel across a spectrum of crucial areas, from executive issues and compensation to mergers and acquisitions, privacy and data security, and risk management.

Elevate your organization’s legal strategies with our General Counsel subscription services.

Contact us today to embark on a journey of ethical growth, regulatory compliance, and strategic success in the world of registered investment advising.

Let us do the legal lifting for you.