Adherence Expertise

Adherence has extensive experience working with hedge and private equity funds, investment companies, registered investment advisors, domestic and offshore entities, separate accounts, fund of funds and FINRA registered broker-dealers.

• The Investment Advisers Act of 1940
• CFTC, FINRA, and SEC regulations
• The Investment Company Act of 1940
• Dodd-Frank Wall Street Reform and Consumer Protection Act
• Fed regulations
• ERISA regulations
• The Securities Act of 1933
• The Securities Exchange Act of 1934