Sadis’ Regulatory Defense & Compliance Group provides a full range of services to assist clients to meet on-going compliance obligations and helps prepare clients for actions taken by federal and state authorities, including: actions and examinations initiated by the SEC, FINRA, the CFTC, the NFA and state regulators.
We serve registered and unregistered investment advisers, broker-dealers, commodity pool operators and commodity trading advisers, among others. Our lawyers help to develop and review compliance policies, provide guidance and counsel and, via mock audits and reviews, monitor existing in-house policies and procedures to identify and remediate areas of potential concern.
SEC COMPLIANCE FILINGS
We prepare initial and amendment filings for various SEC filings, including: Form ADV, Form PF, Form D, Form 13D, Form 13G, Form 13F, Form 13H and Section 16 filings.
CFTC/NFA COMPLIANCE FILINGS
We also prepare initial and amendment filings for CPOs and CTAs, including: Form 7R, Form 8R, Form PQRs, Form PRs, annual questionnaire filings and exemption filings under 4.13(a)(3) and Rule 4.7 of Commodity Exchange Act of 1936.
FINRA FILINGS
We also prepare initial and amendment filings for FINRA member firms, including: Form U-4s, Form U-5s, and CMA filings under FINRA Rule 1017. Moreover, we also assist with Form ATS and Form BD filings.
SEC COMPLIANCE FOR REGISTERED INVESTMENT ADVISERS
We form registered investment advisers under the Investment Advisers Act of 1940, and assist Chief Compliance Officers with their initial and on-going compliance requirements, including: drafting and testing compliance polices relating to hot topics identified by the SEC, including: cybersecurity, ESG practices, marketing rules, soft-dollars, principal transactions and expense sharing between fund clients.
MOCK COMPLIANCE EXAMINATIONS
We conduct tailored mock examinations for clients relating to their required books and records under the relevant regulations. Moreover, we conduct mock interviews for our client, simulating current questions by regulators relating to actual examinations by federal and state regulators.
