Legal And Compliance

---

Over the 25 years, great legal and compliance candidates have become an asset to every fund and the talent not the easiest to come across. Whether you need a Compliance Anlayst or a CCO, Empire has a strong database of great legal and compliance talent.

Personal trading account monitoring, political contributions, FINRA checks, code of ethics, onboarding new hires, gifts and entertainment, rule 204a-1 and conflicts of interest.

Forms PF,13F,13H, ADV, N-PX. Section 13 and 11 filings, 206 examinations, 1940 Act, 1933 Act, Exchange Act of 1934, CFTC regulation, NFA regulation, fund offering disclosures, Blue Sky and Europe Annex IV reporting such as BEA Filings and EU reporting.

Equity (Derivatives and Options) , Fixed Income (Bonds, Municipals, Debt Products, Treasury and Rates), Commodities, Algorithmic trade governance, monitoring positions for ETF's and funds.

In House General Counsel, CGC's, Paralegals, Corporate Attorney's, Partnership and Trust Counsel, Employment Law, ETF Counsel and fund formation.

Vendor due diligence, Expert Network calls (chaperoning), Webscraping, MNPI, marketing materials, restricted lists and wall crossings.