At Registrant Law, we provide legal advice to help registrants meet their disclosure obligations with confidence. Our Disclosure Advice service supports portfolio managers, dealers, and other registrants in preparing and maintaining the foundational documents required for onboarding and ongoing client relationships. All work is performed by experienced securities lawyers who understand the regulatory landscape and your business needs.
Our Disclosure Advice covers a number of forms and documents including:
KYC (Know Your Client) Forms
We advise on the drafting and updating of KYC forms that meet regulatory requirements while remaining practical and client-friendly. Our approach ensures your firm collects the right information to support suitability and risk assessments.
Investment Policy Statements (IPS)
We help you develop IPS documents that clearly articulate your clients’ investment objectives, constraints, and risk profiles. These documents serve as a legal and operational guide for managing client portfolios.
Relationship Disclosure Information (RDI)
We provide legal advice on preparing RDI that clearly explains the nature of your relationship with clients, including services offered, compensation structures, and the roles and responsibilities of each party.
Conflicts of Interest Disclosure
We assist in identifying, documenting, and disclosing material conflicts of interest in a manner that is transparent, understandable, and compliant with regulatory expectations. Our advice ensures your disclosures are tailored to your business model and risk profile.
Contact Nancy Mehrad at nancy@registrantlaw.com to learn more about our Disclosure Advice Practice.