What We Do
Morton Street offers the guidance alternative asset managers need to successfully navigate an increasingly complex legal and regulatory environment. We spend the time upfront to learn your business, ensuring our compliance solutions are tailored to meet your needs. We work with firms of all sizes and investment strategies, from private equity and real estate to hedge funds and venture capital.
Our services include, but are not limited to:
Drafting and Implementing Policies & Procedures
We develop policies and procedures that are customized to the needs of your firm’s business, including your firm’s Code of Ethics. Once policies are established, we can assist with implementation, employee training, and ongoing administration.
Gap Analysis, Mock Examinations & Annual Reviews
As a third party, we provide an objective evaluation of the adequacy of your firm’s compliance program (or a subset thereof). This may be done as a best practice, to prepare for future examinations, or to satisfy regulatory requirements pursuant to Rule 206(4)-7 under the Advisers Act.
Regulatory Examinations
In the inevitable event of a regulatory examination, we leverage our experience to ensure the examination, whether state or federal, runs as smoothly as possible. We assist with all areas of the examination, including coaching executives to prepare for interviews with SEC staff, drafting written responses to inquiries, obtaining FOIA protection, and managing document production.
Regulatory Filings
We draft and review regulatory filings. We’re experts with your firm’s primary public-facing disclosure document, the Form ADV, and related filings such as the Form PF, Form CRS, and Brochure, as well as additional filings required under the 1934 Act (ex. 13D, 13F, etc.).
Marketing Review
We serve as your marketing review team, providing constructive comments that mitigate regulatory risk while furthering business interests.
Due Diligence Materials
We review drafts and assist in the completion of due diligence materials that are subject to significant regulatory scrutiny, like RFPs and other due diligence requests.
About Us
Michael J. Cramer, Founder and Principal, is a seasoned securities attorney with a history solving complex compliance challenges both in-house and externally as a consultant. While in-house, he managed the day-to-day workings of a multi-billion-dollar firm’s compliance program. As a consultant, Michael designed, implemented, and managed bespoke compliance programs for numerous firms of varying sizes and investment strategies.
Throughout his time in the industry, Michael has drafted several white papers on regulatory topics; spoken on panels providing insight on regulatory developments; worked alongside colleagues to provide industry comment letters; and collaborated with the SEC to obtain clarity and provide feedback on proposed rules.
Michael is a member of the Texas Bar and a graduate of the University of Texas School of Law.
Contact Us
contact@morton-street.com
(214) 910 9774
Morton Street Compliance 