Investment Advisors
Tonkon Torp provides planning, organization, regulatory and compliance counsel for investment advisors of all sizes — and at all stages of growth. We also advise unregistered advisory firms on the availability and scope of exemptions from registration.

Clients value our skill in navigating the complexities of investment regulation and compliance. They also appreciate our ability to leverage the strengths of a wide range of practice areas to address their needs, including:
  • Employee licensing requirements
  • Compliance programs and compliance manuals, including codes of ethics and insider trading restrictions
  • Product development
  • Advisory, sub-advisory and brokerage agreements
  • Marketing agreements, including selling agreements and solicitation agreements
  • Executive compensation issues, including employment, non-competition and non-solicitation agreements
  • Advertising and sales literature issues
  • Advice on SEC and FINRA examinations
  • Mergers and acquisitions, including sales, acquisitions and spin-offs
  • Tax and succession planning
  • Litigation and arbitration, including shareholder disputes and defending enforcement matters

SEC Expands Definition of Accredited Investor

In an effort to expand investment opportunities in private companies, on August 26, 2020, the Securities and Exchange Commission adopted on August 26, 2020, amendments to the definition of an “accredited investor.” The amendments expand the…
Read More

Financial Services Attorneys Host COVID-19 Impact Webinar for Investment Advisors

Tonkon Torp Financial Services attorneys Jessica Morgan, Christopher Pallanch and Jarell Hunt hosted a webinar for investment advisors and private fund managers to explore how COVID-19 has impacted regulations, compliance requirements, examinations…
Read More