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O’Melveny Lawyers Outline Compliance Issues for Establishing New Client Relationships in The Investment Lawyer

May 30, 2013 O’Melveny & Myers LLP partner Heather Traeger, counsel Kris Easter, and associate Matthew Cohen authored the article “Compliance Issues for Establishing New Client Relationships: Part 2 of 2” for the May 2013 issue of The Investment Lawyer. The article discusses custodial relationships, Employee Retirement Income Security Act of 1940 (ERISA)-related regulations, voting proxies, and other issues.

In Part One, which appeared in the April 2013 issue of The Investment Lawyer, the authors identified and discussed some of the compliance issues that advisers face when beginning new client relationships, including solicitation arrangements, disclosure documents, and investment management agreements.

Traeger, Easter and Cohen are members of O’Melveny’s Financial Services Practice and reside in the Firm’s Washington, DC office.