Our extensive experience counseling on the legal, regulatory and compliance implications of broker and dealer activities. Our capabilities encompass the broad spectrum of matters involving the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and other state and global regulations.
We provide legal and regulatory support your firm. Through our affiliate entity, REYSA LLC, we provide Regulatory Compliance services to investment advisers, private fund advisers (hedge funds, private equity funds) investment companies, or looking to become one to satisfy ’s your firm’s regulatory requirements under the Investment Adviser’s Act of 1940 (“Advisers Act”), Investment Company Act of 1940 (“Company Act”) and applicable state regulations.
We are not than just a compliance consultant!
BR Law Group is a lawyer and an experience professional with more than 10 year of experience working in the financial industry as Compliance Officer. Her legal background and her vast experience in the regulatory compliance allows her to cover legal, compliance and business aspects of your firm.
We will tailor our services to your needs and help you build and maintain robust compliance programs. Our services include:
We will provide full support to the compliance function including filing US regulatory filings, such as Form ADV Part 1, 2 and 3 Annual Amendment, 13 F, H, wrap brochure. Our services also include but are not limited to:
We offer different packages designed to meet your specific business needs.
o Form ADV: Based on the information that you provide us; we will create and file your Form ADV tailored to your firm’s business and in compliance with your jurisdiction’s requirements. Form ADV is the uniform form used by investment advisers to register with both the Securities and Exchange Commission (SEC) and state securities authorities. The form consists of the following parts: Part 1 requires information about the investment adviser’s business, ownership, clients, employees, business practices, affiliations, and any disciplinary events of the adviser or its employees. Part 2A: The Form ADV Part 2A acts as your firm’s brochure. Form ADV Part 2B: This form contains employment, educational, conflict of interest, and disciplinary information of any person providing investment advice to clients, executive officers, and any representative advising clients. Part 3: The Form ADV Part 3 is a summary of the firm’s brochure intended to assist clients and prospects understanding in plain language the Advisors’ services and responsibilities.
o Form U4: The Form U4 is the on-line form of an individual’s registration to a firm that must be filed with the appropriate regulator.
o Form U-5: The Form U5 is the on-line form of an individual’s termination from a firm that must be filed with the appropriate regulator.
o Additional Filing Documents & Regulatory Paperwork: We will create any supplementary documents and file them with the state(s) as required.
o Policies & Procedures / Code of Ethics: We will assist you in drafting your firm’s P&P
and Code of Ethics ensuring your firm meets the appropriate regulatory authority requirements.
We will assist you with the process of registering a new US company that legally meets all requirements in State of Florida. Prior to the initial filing will conduct a name search to ensure your entity’s name is available. We will prepare and do the initial filing of the appropriate documentation including the Articles of Organization with the Department of State. Once the company is approved, we will provide you with the company’s Share Certificates/Partnership/ Membership Certificates and company seal.
