Regulation

Murray LLP can assist your firm with regulatory compliance.

Dodd-Frank

The changes and new regulations mandated by Dodd-Frank continue at an unabated pace.  Amongst the changes we can assist with providing counsel and advice upon includes:

› Form PF
› CFTC changes
› SEC Registration›

JOBS Act

The long-awaited changes to be implemented by the JOBS Act are expected to have a significant impact on the way that hedge funds can market and offer their securities.  The rules on how so-called Regulation D offerings may be offered in the future should be published shortly.  We will issue a guide on this topic when the details are known.

Audits and Examinations

We can provide you practical advice on responding to requests from regulators including the SEC, NFA and FINRA.  We will advise you on record keeping obligations, responding adequately and fully to a regulatory request and ensuring that appropriate exemption from FOIA disclosure is sought for materials and information provided.

 Registration 

We provide registration advice, guiding you through the regulatory registration process in a practical and complete manner.  We will collect the relevant documents and ensure that the appropriate filings are made.

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