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Investment Advisors

SEC and state registered investment advisors face a complex and ever-changing regulatory environment. Our firm's Business Law Group helps clients design compliance policies and procedures appropriate to the size and nature of their business. We avoid over-engineering processes so they can comply more easily and with as little interruption to their day-to-day activities. We also help our clients with ongoing compliance monitoring and reporting.

Representative Experience

  • A SEC-registered investment advisor, with approximately $1 billion in assets under management, needed a general counsel to handle compliance and other corporate matters. Hemenway & Barnes created compliance policies and procedures and keeps them up to date when regulations change. We also organized and maintained their pooled investment vehicles, which included drafting private placement memorandums, governing documents and securities law compliance policies.
  • A SEC-registered investment advisor with institutional clients came to Hemenway & Barnes for counsel. Our attorneys organized and maintained a number of pooled investment funds for socially responsible investment, drafting fund documents and ensuring compliance with securities laws.

Communications Policy for Hemenway & Barnes

Thank you for your interest in Hemenway & Barnes, but merely communicating with Hemenway & Barnes LLP or a Hemenway & Barnes lawyer or employee will not create a lawyer-client relationship. Such a relationship will not arise unless and until the firm agrees with you in writing to handle a particular matter. Unless and until this has occurred, you should not convey to us any information you regard as personal or confidential, because any such information will not be treated by us as confidential or subject to any confidentiality requirements.

Our website offers several opportunities for visitors to request information. We use this contact information to send users information about our firm and their selected areas of interest. We may not be able to respond to your request for a variety of reasons, but appreciate your interest in our firm.