General Counsel Services

Assisted clients’ human resources departments in all aspects of employment law, including the drafting and negotiation of employment agreements, independent contractor agreements, and severance agreements. We also assist with other HR and legal/compliance-related issues, such as drafting employee handbooks, instituting non-discrimination policies, and addressing loyalty incentive programs. Assisted clients in drafting and negotiating vendor and services agreements, including the creation of form documents for use by the client and responding to form documents provided by counterparties. These agreements range from simple services agreements with potential vendors, to master service agreements between sophisticated parties maintaining a complex business relationship. Assisted clients with ensuring that marketing-related activities are in compliance with applicable laws and regulations, such as with broker-dealers and registered investment advisors, and otherwise provide guidance on limiting potential risks associated with marketing activities, such as drafting appropriate disclaimers and disclosures. Assisted clients with corporate governance-related tasks, including forming new entities (such as subsidiaries/affiliates), drafting operating agreements/bylaws, and complying with the formalities of operating a legal entity (i.e., the use of board minutes and shareholder/board resolutions to effectuate corporation actions). Represented a major RIA involving nearly $2 billion in assets, and all related corporate and compliance matters.