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Regulatory Solutions
Comprehensive Legal Counsel for Global Regulatory Compliance
SJKP LLP’s Regulatory Solutions Practice provides end-to-end legal guidance across the spectrum of investment management and financial regulation. Our attorneys combine deep experience with the SEC, FINRA, and global financial regulators to help clients navigate the evolving landscape of compliance, examinations, and enforcement.
We advise private fund sponsors, registered investment advisers, broker-dealers, and institutional investors on structuring, registration, and compliance frameworks that align with business objectives. From formation and registration to complex cross-border transactions and enforcement defense, our goal is to provide strategic, actionable, and forward-looking regulatory counsel.
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1. Regulatory Solutions for Investment Fund Managers
Our attorneys advise investment advisers, private fund sponsors, and registered fund managers on compliance with the Investment Advisers Act, Investment Company Act, Securities Act, and related SEC and FINRA regulations. We guide clients through the full lifecycle of regulatory obligations—designing compliance infrastructures, advising on product governance, and responding to examinations or enforcement actions.
SEC Compliance and Examination Support
SJKP LLP assists clients in developing robust compliance programs and governance policies tailored to their business models. We conduct mock examinations, prepare documentation for SEC inspections, and assist in responding to deficiency letters. When necessary, our team represents clients in enforcement inquiries and settlement negotiations, drawing on years of insight into SEC procedures.
Investment Adviser Registration and Exempt Reporting Adviser Filings
We prepare and submit registration documents for investment advisers and exempt reporting advisers (ERAs), ensuring accuracy and efficiency in Form ADV, Form PF, and related filings. Our attorneys also advise on custody rule compliance, marketing rule obligations, and recordkeeping requirements under SEC Rule 204-2.
Exemptive Relief and No-Action Letter Requests
For innovative or nontraditional fund structures, SJKP LLP drafts and submits requests for SEC exemptive relief and no-action letters. Our team has extensive experience obtaining exemptions from prohibitions on joint transactions, affiliated trading, and custody restrictions, enabling clients to operate flexibly within the law.
2. Regulatory Solutions in Cross-Border Operations
Operating across multiple jurisdictions presents intricate compliance challenges for asset managers and global investors. SJKP LLP advises on the interaction between U.S. laws and foreign regimes such as AIFMD, MiFID II, GDPR, and local fund registration frameworks. We help clients design structures that accommodate global investor access while maintaining compliance with each jurisdiction’s requirements.
Structuring and Avoiding Investment Company Status
We counsel clients on structuring vehicles that avoid unintended classification as investment companies under the Investment Company Act. This includes analyzing ownership thresholds, offering limitations, and operational tests. Our attorneys prepare legal opinions supporting exempt status under Sections 3(c)(1), 3(c)(5), or 3(c)(7), and guide clients through SEC interpretive analysis for joint ventures or structured entities.
Cross-Border Distribution and Marketing Compliance
We advise on private placement regimes, reverse solicitation policies, and registration exemptions for global offerings of U.S. and non-U.S. funds. Our guidance includes compliance with AIFMD passporting requirements, MiFID II distribution standards, and local marketing restrictions in Asia, the EU, and the Middle East.
ERISA, Sanctions, and AML Coordination
Our cross-disciplinary approach integrates ERISA fiduciary obligations, OFAC sanctions screening, and anti-money laundering (AML) requirements under the Bank Secrecy Act and PATRIOT Act. We help clients design compliance systems that align with both investor protection standards and national security regulations.
3. Regulatory Solutions in M&A and Asset Management Transactions
Regulatory compliance is a critical factor in every asset management transaction. SJKP LLP provides comprehensive legal support for mergers, acquisitions, restructurings, and divestitures involving fund managers, broker-dealers, and investment platforms. We manage the full spectrum of regulatory approvals and post-transaction integration issues to ensure smooth and compliant execution.
Regulatory Due Diligence and Change-of-Control Filings
We perform detailed due diligence on target entities, identifying compliance gaps, enforcement histories, and licensing exposures. Our team handles Form ADV amendments, Form BD updates, and other filings required for change-of-control transactions. We also prepare responses to SEC and FINRA approval processes to expedite deal closure.
Integration of Compliance Frameworks Post-Merger
Following a merger or acquisition, we assist clients in harmonizing compliance policies, consolidating reporting systems, and ensuring consistent governance standards. Our attorneys design transition plans that align operational realities with ongoing regulatory expectations.
Collaborative, Cross-Disciplinary Regulatory Counsel
SJKP LLP’s Regulatory Solutions team collaborates with the firm’s Tax, Private Equity, and ERISA practices to provide holistic transactional advice. We address issues ranging from adviser registration and broker-dealer oversight to compensation structuring and fiduciary obligations, ensuring seamless compliance during complex deal execution.
4. Regulatory Solutions for Enforcement, Governance, and Risk Management
In a heightened enforcement environment, proactive governance and compliance management are essential. SJKP LLP helps clients strengthen internal controls, manage regulatory risk, and respond effectively to investigations or examinations.
Enforcement Defense and Investigations
We represent clients in SEC, FINRA, and CFTC enforcement actions, as well as parallel investigations by the DOJ and state regulators. Our attorneys provide strategic defense planning, negotiate settlements, and coordinate remedial measures to mitigate enforcement exposure.
Compliance Risk Assessments and Internal Controls
Our team performs enterprise-wide compliance risk assessments and develops tailored policies to address operational, market, and reputational risks. We assist boards and senior management in implementing governance systems that satisfy SEC and investor oversight standards.
ESG, Cybersecurity, and Data Governance Compliance
As regulatory scrutiny expands into non-financial domains, SJKP LLP advises on ESG reporting, cybersecurity frameworks, and data privacy compliance under SEC and FTC standards. We help clients integrate ESG and technology governance into broader compliance programs to enhance transparency and investor confidence.
5. Why Choose SJKP LLP for Regulatory Solutions
SJKP LLP offers more than technical compliance advice—we deliver strategic regulatory insight that empowers clients to operate confidently and innovate responsibly. Our attorneys have held leadership roles within the SEC, FINRA, and international regulatory bodies, giving us an insider’s understanding of how to anticipate and address emerging enforcement trends.
Regulatory Solutions Multidisciplinary Advantage
We combine the knowledge of our Investment Funds, Corporate, Tax, and Litigation teams to deliver integrated counsel that meets the complex demands of the modern financial industry. Whether advising on SEC filings, compliance frameworks, or enforcement risk, our solutions are both practical and precise.
Regulatory Solutions Global Perspective
With attorneys across major financial centers in the U.S., Europe, and Asia, SJKP LLP supports clients with multinational operations. We understand the nuances of cross-border compliance and help global investment managers align their strategies with jurisdiction-specific regulatory expectations.
The information provided in this article is for general informational purposes only and does not constitute legal advice. Reading or relying on the contents of this article does not create an attorney-client relationship with our firm. For advice regarding your specific situation, please consult a qualified attorney licensed in your jurisdiction.
Certain informational content on this website may utilize technology-assisted drafting tools and is subject to attorney review.
