The Law Offices of John H. Lively & Associates, Inc.

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OUR EXPERTISE INCLUDES

 

Investment Advisers
Derivatives & Commodities
Financial Services Tax
Regulatory Compliance
Ongoing Compliance Services for Investment Advisers and Broker-Dealers
Custodians, Administrators, & Transfer Agents
IM Litigation & Enforcement Matters
Regulatory Exams and Investigations
Financial Services M&A
Investment Company Status
Collective Investment Trusts
Broker-Dealers
Anti-Money Laundering
Independent Investigations
Insurance Products
Securities Enforcement and Regulation
Broker-Dealer Formation, Regulation and Compliance
Investment Adviser Formation, Regulation and Compliance
Registered & Unregistered Investment Companies, including Mutual Funds, Exchange-Traded Funds, & Closed-End Funds
Outsourced Chief Compliance Officer and Anti-Money Laundering Officer Services
Independent Director/Trustee Counsel

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Please contact us at info@1940actlawgroup.com for more information