MALLON & JOHNSON Securities Law and Consulting

  
  
SERVICES OFFERED TO INVESTMENT ADVISERS

MALLON & JOHNSON offers all services relating to compliance with and litigation of federal and state securities laws. Services the firm offers include:

  • Annual review of an adviser’s policies and procedures
  • Updating the Form ADV and filing of amendments
  • Preparation and support for SEC investment adviser examinations
  • On Site Attendance at SEC examination
  • Full mock examinations of adviser’s operations
  • Representation of adviser and personnel in SEC enforcement actions
  • Assistance with compliance with SEC orders
  • Drafting of workable policies and procedures manuals and forms
  • Quarterly compliance calls
  • Review of E & O policies for coverage
  • Consultations re: all advisory matters
  • 13F and 13G filings
  • Registration and notice-filing for advisers
  • Specialized reviews of investment adviser operations including:
  • Fee-billing
  • Soft dollar usage
  • IPO trading/flipping
  • Referral arrangements
  • Trading allocations
  • Disaster recovery plans
  • Personal securities transactions
  • Client services and files
  • Advertising
  • Proxy-Voting Policies and Retention
  • Privacy Policy Compliance
  • E-Mail Retention

 

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Mallon & Johnson, P.C. ~ 33 N. Dearborn, Suite 300 ~ Chicago, IL 60602
Voice: (312) 346-8890 ~ Fax: (312) 346-8896
Mallon And Johnson