Boutique Cross-Border Counsel for Investment Adviser Compliance &

International Reputation Protection

· SEC Registered Investment Advisers & Exempt Reporting Advisers.

· State Registered Investment Advisers.

· Individuals and Businesses Seeking Reputation Defense and Data Correction.

Read more about our core services below.

INVESTMENT ADVISER COMPLIANCE

At Alcantara Law, LLC, we offer legal advice and compliance solutions tailored to federally covered investment advisers, both within the U.S. and internationally. Our services encompass a wide range of aspects of SEC compliance to ensure your firm meets regulatory requirements and maintains best practices.

Our key offerings include:

SEC Examination Support: We provide expert assistance during SEC examinations, ensuring your firm is well-prepared and responsive to regulatory inquiries.

Mock Examinations: We conduct thorough mock examinations to identify potential issues and areas for improvement before official regulatory reviews.

Drafting of Disclosures: We craft clear, compliant disclosure documents that meet regulatory standards and accurately reflect your firm’s practices.

Policies and Procedures: We partner with you to develop comprehensive policies and procedures to help manage compliance effectively and adhere to industry regulations.

Liaising with Regulators: We act as a liaison between your firm and regulatory bodies, facilitating communication and resolving compliance issues.

Books and Records Advising: We offer guidance on maintaining and managing accurate books and records as prescribed by SEC rules.

Annual Review and Amendments: We conduct annual reviews of your compliance program and assist with the annual amendments of Form ADV to ensure ongoing compliance.

Our firm works with financial advisors both in the U.S. and abroad, offering registration services and providing ongoing or ad-hoc compliance support tailored to your firm’s specific needs.

REPUTATION DEFENSE

We represent clients in preparing and submitting detailed requests to challenge INTERPOL Red Notices, as well as Diffusions and other forms of international police alerts. Our work includes developing comprehensive factual records, identifying procedural or legal deficiencies under INTERPOL´s governing rules, and presenting persuasive arguments to the Commission for the Control of INTERPOL´s Files (CCF). In addition to responding to existing notices, we assist clients with preventive and corrective measures designed to ensure that unjustified or erroneous information does not remain in-or re-enter-INTERPOL´s systems. This includes analyzing cross-border documentation, reviewing police and judicial records, and advising on proactive steps to mitigate future risk.

This service is particularly critical for financial professionals, including investment advisers, fund managers, private-equity principals, and executives engaged in cross-border transactions. For clients in the financial sector, an outstanding Red Notice or Diffusion can raise compliance concerns, trigger enhanced due-diligence reviews, complicate onboarding with custodians or broker-dealers, disrupt licensing or registration processes, and undermine relationships with investors or counterparties. By correcting or removing inaccurate INTERPOL data, we help financial professionals preserve their regulatory standing, maintain uninterrupted access to global markets, and protect the professional credibility upon which their businesses depend.

We understand that the presence of misleading or inaccurate information in INTERPOL´s databases can be deeply disruptive and damaging. For this reason, our firm approaches each matter with sensitivity discretion, and a commitment to safeguarding the dignity, mobility, and professional reputations of our clients.

ALCANTARA LAW, LLC

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