Large investment businesses have large legal and compliance staffs but for smaller institutions, the challenge of attracting and retaining in-house lawyers with sufficient expertise at a cost that isn’t prohibitive can be daunting, if not impossible. Obtaining these services from law firms is obviously an alternative, but someone inside the company – someone who knows its needs and how to manage the lawyers – has to remain involved -- a task that takes time away from other responsibilities. Yet the failure to pay close attention to legal and compliance issues is a risk that is too great to take.
To solve this difficult problem, Go4Customer has developed a series of staffing alternatives – giving our clients the option to choose between one time or ongoing services appropriate to their needs. Using our unique combination of regulatory and business experience, we are prepared to provide one or more of the following:
- Setting up and documenting hedge funds and funds of funds
- Registering broker-dealers, investment advisors, commodity pools and commodity trading advisors
- Drafting compliance and supervisory procedures
- Performing legal due diligence
- Assisting in regulatory examinations
- Monitoring compliance with firm policies and regulatory requirements
- Creating and documenting new products
- Drafting and negotiating contracts
- Conducting special reviews
- Advising boards and senior management on legal and reputational risks
- Serving as outside general counsel
