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Whether a hedge fund, other investment company, an investment adviser, broker, or broker/dealer, all face a broad range of compliance challenges—in the case of funds and investment companies, this may often come on top of increased pressures from investors, state and federal regulators, as well as legislative bodies and individual politicians.

Bellwether can provide needed counsel on compliance and governance, leveraging regulatory experience and knowledge of trading assets.

This includes structures for compliance, with processes, checks, and policies, ensuring compliance in the short term, mitigating risk in the long term. 

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Advising on regulatory requirements of the Securities & Exchange Commission (SEC), Commodities & Futures Exchange Commission (CFTC), Department of Treasury Financial Crimes Enforcement Network (FINCEN), Financial Industry Regulatory Authority (FINRA)), and/or state legal and regulatory authorities—


Bellwether Law can provide counsel on the following areas and issues:

Investment Fund Formation & Regulation

Advise on Hedge Fund, Private Equity Fund, and Venture Capital Fund formation, including private placement memorandum, subscription agreement, investor questionnaire, and formation documents, including any agreements with service providers—and after, advise on compliance with federal and state laws and regulations and SRO regulations.

Investment Adviser Regulation

Provide counsel to investment advisers regarding formation, SEC and state registration, and the various compliance and operational matters including: the design and implementation of oversight and compliance programs; information barriers; conflicts disclosure; negotiation of advisory agreements; the securities trading process; among other issues.  

Investment Management Companies

Provide counsel on corporate governance matters, develop and advise on compliance systems and regulatory controls, and structure and evaluate the legal issues impacting investments in financial instruments 

Securities Trading and Funding Platforms

Advise these companies on securities trading and funding platform issues regarding broker‐dealer status and obligations, Regulation ATS, investment adviser regulations, public offerings, crowdfunding, general solicitation, and potentially applicable state regulatory issues.

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