practice

Registered Investment Advisors

Registration

If you are considering registration as an Investment Advisor, WGK Compliance and Regulatory Services Group will help you assess your options. We can also help you create a model that is consistent with the style and form of the practice you want to build. Working with you, we will prepare the necessary registration documents including the Form-ADV, as well as compliance materials, customer agreements and other documentation required of RIAs.

Compliance Services

WGK Compliance and Regulatory Group offers ongoing support to help RIAs remain compliant with SEC and state requirements. This includes the preparation or revision of their agreements, procedures and policies. We also provide review of advertising literature and sales literature, SEC Rule 206(4)-7 Annual Compliance testing and administration of your IARD records.

Litigation and Regulatory Proceedings

Potential adverse actions affecting you or your firm demand a meticulous analysis of the issues presented and your potential exposure. WGK attorneys have a long history of representing financial institutions and professionals in connection with regulatory inquiries, investigations, enforcement actions, customer complaints, criminal and quasi-criminal proceedings. That experience is critical in the development of a response strategy that is cost effective and meets your needs.

Learn more about specific services handled by the WGK Compliance and Regulatory Services Group. 

For more information, contact George L. Guerra at gguerra@wiandlaw.com or 813.347.5100.WGK-Compliance-Reg-Logo-FNL-300x195