About Us - Scott Goldring Associates - A Securities Law Firm

Scott Goldring Associates (SGA) is a boutique law firm that provides over 17 years of specialized experience in every aspect of Securities law.   SGA has expertise in formation and ongoing compliance for Hedge Funds, Private Equity/Venture Capital Funds and Family Offices. We also provide Outsourced General Counsel services.   With the implementation of the Securities and Exchange Commission's regulatory sweeps and the ever-changing regulatory landscape, we have the experience to walk you through the compliance maze of the SEC, FINRA and NFA we can also complete all regulatory filings on your behalf. We are also available to provide ongoing compliance assistance on a monthly, quarterly or annual basis and can provide mock-examinations to expose weakness in your current compliance procedures. 

 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 its regulatory requirements as well as customizing compliance procedures to your firm.  We are thoughtful about what you do and how you do it, that is reflected in a bespoke compliance manual made just for you.  We are well versed in the elements that are needed to create a written code of ethics that sets forth the standards for business conduct that you want to be reflected within the culture of your firm.  We will review all marketing materials and assist with website developments that is in compliance with current regulatory standards.

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 a Fund or Family Office.  We also assist with your review of data vendors and privacy procedures to ensure that you are in compliance with every jurisdiction.  
 

 SGA represents both sponsors and investors in connection with the establishment of Private Equity investment vehicles and Venture Capital Funds.  We also serve as counsel both independently and in-house as outsourced General Counsel to private fund managers and sponsors.  SGA is regularly involved in the structuring and negotiating of the fund's investments and will work clients to establish a clear and attainable exit strategy.

Our approach focuses on the client's objectives and the ultimate goal of a successful exit.  As the financial markets fluctuate, so does the bargaining power of both buyers and sellers, we stay current on these trends and assist in negotiating strategies favorable to our clients. 

 SGA specializes in Hedge Fund Formation of both Domestic and Offshore funds and can move quickly to get you started, offering timely expertise.  Whether Domestic or Offshore we will help you to decide which structure and jurisdiction is best for you and your investors.  From Parallel Funds to the Master Feeder Structure, we will find the location that has the best tax benefit for both you and your clients. 

 High net worth families recognize the benefit of forming a family office.  SGA understands the needs and goals of a Family Office and with our large network of industry contacts, we can provide assistance with a comprehensive approach to creation, oversight, and wealth management and preservation.

We collaborate with other professional service providers to assist clients with a holistic set of services to meet the growing complexity of needs and opportunities facing the high net worth family.   We can serve as outsourced General Counsel to handle a wide variety of projects as well as supervise the work of others.

We are always available to handle both large and small matters and will work with the family to set a reasonable budget for ongoing services.  We can help clients to address concerns and interrelated financial, personal and public objectives. 

SGA can also assist your family with general consulting, review and drafting of contracts, and contract negotiation.  SGA can assist with hiring and drafting of employment contracts as well as evaluating investments for the purpose of wealth preservation.