Federal and state regulations are a constantly shifting and the regulatory landscape is ever evolving, requiring vigilance for businesses of every size and nationality. Monte’s decades of regulatory experience and preventative counseling have saved his clients hundreds of millions of dollars in avoided litigation and regulatory fines.

• Outsourced General Counsel services for SEC Registered Investment Advisers including Private Fund Managers (Hedge Funds, Private Equity, Venture Capital, and Real Estate), Wealth Managers as well as FINRA registered Broker-Dealers, Family Offices and Foundations and related industry service providers.
▪ General corporate counsel
▪ Regulatory compliance advice
▪ Regulatory investigations, inquiries and examination support and management
▪ Regulatory filings
▪ Entity structuring and formation
Contract negotiations
▪ IP/Trademark
▪ Employment issues and negotiations