Securities Law

We have extensive experience advising public and private companies on all aspects of securities law compliance. We also represent investment advisors in Securities and Exchange Commission (SEC) registration and other matters.

US Virgin Islands-based companies and US mainland companies with operations in the islands are subject to a blend of US Virgin Islands and US federal securities laws. These laws apply to both public and private corporations. However, US Virgin Islands law offers registration exceptions and other benefits for companies that invest locally in the islands.

With experience as in-house counsel for a large investment advisory firm and as former chief counsel to the US Virgin Islands Bureau of Internal Revenue, firm founder Marjorie Roberts offers comprehensive guidance on complex securities law matters and on the tax implications of various corporate and investment structures.

Securities Law Close-Up

Our securities practice focuses on three primary areas: regulatory compliance under US Virgin Islands and US federal law, nearshore investment structures, and legal representation for investment advisors in the US Virgin Islands.

Investment Advisors

We work with investment advisors throughout the US Virgin Islands on all securities law compliance issues, including the following:

• SEC investment advisor registration
• Compliance with the Investment Advisors Act of 1940 (CIAA)
• Compliance with the Investment Companies Act of 1940 (CICA)
• Securing exemptions under the CIAA and CICA
• General advice and counseling on legal and regulatory compliance

Schedule a Confidential Consultation

If you have questions about securities law compliance in the US Virgin Islands, please contact us for a confidential initial consultation. To schedule an in-person or phone appointment, please call 340-776-7235 or inquire online.