Rich has given presentations and assists on a variety of investment management clients with their compliance with anti-money laundering laws, and has performed annual independent third party audits of several clients’ anti-money laundering policies, programs and controls. He has also assisted numerous clients in all aspects of SEC and other regulatory examinations.
Rich also has experience representing clients in many industries in the sale or acquisition of businesses, formation of corporate entities, sophisticated contract negotiations, and in obtaining, renewing and renegotiating the terms of financing business operations. He routinely works with clients’ chief executive officers, chief financial officers, directors, and in-house general and assistant general counsels, including occasionally working from clients’ corporate headquarters upon request. Rich works with corporate and finance clients of all sizes, from startup family-run businesses and entrepreneurial endeavors to Fortune 500 clients. He also has experience representing clients across many industries, including health care, data management, retail product display and advertising design and manufacturing, industrial manufacturing, and real estate management and brokerage industries.
- Investment advisers, including state and federal registration, compliance and exemptions
- Investment funds, including mutual funds and others registered under the and private funds exempt from the Investment Company Act
- Broker-Dealers and Capital Acquisition Brokers
- Public company reporting and regulatory matters
- SEC examinations and other securities matters
- Mergers, acquisitions, sales and formation of corporate entities
- Corporate counseling and commercial transactions
- Pension funds and institutional investors
- Corporate compliance and social responsibility, including AML compliance