Hedge Fund Formation and Securities Law Specialists
Law Offices of Scott Goldring Associates

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Outsourced Services 
Outsourced General Counsel or Compliance Officer

SGA can assist Registered Investment Advisors with critical compliance requirements.  We can assist with the creation and maintenance of supervisory compliance procedures that accurately reflect how your firm complies with regulatory requirements as well  as customize your compliance procedures to your firm.  We can create a written code of ethics that sets forth the standards for business conduct within your firm.  We can review all marketing materials and assist with website developments that is in compliance with current regulatory standards. We can stage moc examinations at least annually to expose and rectify any weakness in your compliance procedures.

SGA can assist in creating a business continuity plan because the orderly transfer of power, whether planned or in an emergency, is critical to the survival of the Fund or Family Office.  SGA can assist with general consulting, review and drafting of contracts, and contract negotiation.  SGA can assist with hiring and drafting of employment contract as well as evaluating investments for the purpose of wealth preservation.


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