- Ms. Chisolm is committed to helping you meet your business needs whether you are an entrepreneur interested in starting an ETF or an established fund sponsor seeking a second opinion. She can assist you with a number of services, including:
- Product design
- Initial registration of shares
- Annual updates to registration statements
- Exchange listing
- Routine and non-routine exemptive applications
- Board governance
- Drafting of requests for no-action relief
- Investment Company Act compliance
- Preparing for SEC examinations
- Responding to deficiency letters from the SEC
- Review of investment company agreements
- Daphne Chisolm offers counseling to both small and large-sized registered investment advisers. She is able to assist you on a wide range of Investment Advisers Act regulatory and compliance issues, including:
- Preparation of charter documents and Forms ADV
- Preparation and review of investment advisory agreements
- Counseling on investment adviser advertising, performance, and website issues
- Responding to SEC deficiency letters
- Representation before the SEC
- Drafting requests for no-action relief
- Drafting routine and non-routine exemptive applications
- Ms. Chisolm offers legal counsel to law firms. How law firms could benefit from Attorney Chisolm's experience?
Ms. Chisolm offers her assistance to solo practitioners and law firms that do not specialize in securities laws, but may have a client that is in need of counseling in this area. Ms. Chisolm has the experience, industry knowledge, and skill to meet your client's needs.
Ms. Chisolm also is available on a project-by-project basis to those law firms that have expertise in the federal securities laws, but need additional assistance from time to time. Ms. Chisolm understands the time demands of a securities practice, and would be more than happy to be of service.
Contact Attorney Daphne Tippens Chisolm
The most important thing for solo practitioners or law firms is to make sure that they have the knowledge and resources to provide effective legal counsel to their clients. Regardless of your specific needs, you can depend on Ms. Chisolm to use her experience and extensive knowledge of the investment management industry to enhance your representation of clients.
- Millions of Americans turn to stockbrokers to help them invest their hard-earned money in a way that will maximize their return. Unfortunately, every year countless people experience substantial financial losses on their investments due to poor advice or misconduct on the part of their broker.
If you have suffered a financial loss due to securities fraud or poor advice from a broker, you should consider speaking with an experienced securities lawyer. An attorney can help you assert your rights and hold your broker accountable for wrongdoing. There are many unlawful acts that can result in a securities arbitration claim, such as:
- Unauthorized trading
- Account churning
- Unsuitable investments
- Providing false or misleading financial information
- Failing to disclose pertinent financial information