Registered Investment Advisors (“RIAs”) are often presented with many challenges when dealing with complex legal, regulatory and compliance issues. Ryan Swanson’s services for RIAs are focused on guiding you through these obstacles to solve problems that can impede your ability to service your clients effectively. The following list is a sampling of the services Ryan Swanson’s attorneys regularly provide for a wide variety of RIAs and their clients throughout the Pacific Northwest.
SECURITIES ENFORCEMENT DEFENSE
- Defend RIAs in securities enforcement investigations and actions brought by the SEC and State of Washington DFI Securities Division
- Counsel clients on regulatory/reporting issues
- Work with compliance consultants on legal aspects of compliance issues
- Defend RIAs in customer claims asserted privately or brought in court or arbitration
- Negotiate/mediate resolutions of customer claims
- Investigate and prosecute claims by RIAs against investment sponsors
- Create employment agreements
- Negotiate severance agreements
- Advise regarding joining Protocol for Broker Recruiting
- Advise regarding recruitment from Protocol and non-Protocol member firms
- Defend against employment matters – traditional/contractual/public policy claims
- Litigate enforceability of employment agreements – non-compete, non-solicitation provisions
- Protect confidential information and trade secrets
- Address Electronically-Stored Information (“ESI”) on home computers, cell phones, PDAs, thumb drives
- Prosecute and defend temporary restraining order (“TRO”) and injunctive relief actions in Federal and State court, arbitration forums
- Create LLC agreements for newly-formed RIAs
- Create transactional documents for RIA-sponsored investment funds, including Private Placement Memorandums, Subscription Agreements, etc.
- Create investment advisory agreements, including for providing digital wealth management services (i.e., “robo advice”)
- Advise RIAs and their clients in connection with risk, loss and liability avoidance
- Advise RIAs and clients regarding federal and state securities laws relating to private placements, etc.
- Advise regarding general contract and IP issues
- Federal and State tax advice