Needs of Investment Professionals
Legal, Compliance & Regulatory Services
Client Focused. Results Driven
- RLG focuses on investor advisor/broker-dealer compliance and their corresponding business transactions.
- RLG’s mission is to provide sound and ethical business advice to each and every client so that the client understands and fulfills regulatory responsibilities, grows the business, and is able to transition to new opportunities when the time is right.
- RLG’s goal is to develop long-term client relationships by becoming fully immersed and familiar with the inner-workings of the client’s business, while leveraging the collective knowledge and abilities of our professional staff to achieve total success of the client’s business.
- Reymann Law Group, P.A. (“RLG”) was founded by T. Gregory Reymann II (“Greg”) who has over 30 years’ experience in the financial services industry, including legal and compliance roles with Franklin Templeton, Transamerica and Principal Funds. Greg has earned recognition as a seasoned and credentialed practitioner who provides top-quality business compliance services.
- RLG’s clients range from newly formed business owners to seasoned broker-dealers and investment advisers.
- RLG offers outsourced chief compliance services to registered investor advisers giving advisers the ability to free up internal resources and save costs.
- RLG believes that being dedicated to providing personalized services and legal strategy for success to clients is the best way to foster a long-term ongoing relationship with a client.
Whether you are starting an advisory practice, maintaining and enhancing your compliance program and processes, or looking to monetize your practice through an asset purchase of merger, turn to Reymann Law Group to assist you wherever you are in your practice lifecycle.
We also can partner with you and your team to develop and implement a customized compliance solution where the majority of the effort is outsourced to us. We provide a qualified Chief Compliance Officer (CCO), and we work with you to satisfy your advisory compliance needs on an on-going basis. We will keep you fully-informed…
Investment companies or mutual funds are primarily regulated by the US Investment Company Act (’40 Act). The ’40 Act’s complex, highly technical provisions can be challenging for both innovative startups, and long-established industry participants, and investment adviser who strive to sub-advised the fund.
All registered Investment advisers are also businesses and therefore it is critical that the adviser is represented in the following areas:
Contracts: Reviewing, drafting, and negotiating legally-binding agreements on behalf of the corporation, which could involve everything from lease agreements to multi-billion dollar acquisitions;
Outsourced General Counsel is an extension of your team. Outsourcing your General Counsel is an affordable yet highly effective way to manage the legal aspects of a business. In order to effectively maintain the company’s legal standing, a General Counsel has to fulfill a wide variety of duties and responsibilities that touch every department. The…
Regulatory exams do not have to be stressful; instead they can be a time to shine! We have handled numerous regulatory exams and understand exactly what the regulators are looking for and how to dialogue and communication with them. Here are the key points for any examination: SEC examinations are administered by the Office of…
Meet the Team
Regulatory Compliance Blog
Revisiting the New Marketing Rule to Prepare for November 4, 2022 On July 20, 2021, we released our Blog entitled “SEC Modernizes a New Marketing Rule” to provide you with a glimpse of things to come pertaining to new marketing and advertising definitions, prohibitions, amendments and SEC staff guidance set forth by the new Marketing Rule (the “Rule”). The Rule had an effective date of May…
SEC Division of Examinations’ Risk Alert Concerning Notable MNPI Authors: Greg Reymann & Jim Obuchi On Tuesday, April 26th, the SEC’s Division of Examinations (the “Division”) issued a Risk Alert that outlined notable deficiencies observed by the Division’s staff with respect to two key compliance areas: Section 204A of the Advisers Act of 1940, which addresses the prevention of the misuse of material non-public…
2022 SEC Division of Examinations Priorities – Summary for RIAs Authors: Greg Reymann and Jim Obuchi On Wednesday, March 30th, the SEC’s Division of Examinations (the “Division”) released its annual examination priorities for 2022, which cited a 20% increase in the number of RIAs over the past five years (from about 12,250 to over 14,800 RIAs). During this period, the number of RIAs with AUM…
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