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Syed R.

Syed R.

Securities & Fintech Attorney | Funds - M&A - Privacy - AI Governance

Most people who message me are in one of a few spots. They're about to take investor money. They need a license before they can launch. They're buying or selling a business. Or a bank or a big customer has asked for a compliance program they don't have yet. If that's you, my services include: SECURITIES OFFERINGS AND FUND FORMATION Private Placements, including Reg D 506(b) and 506(c) and Reg A+ raises. I draft the PPM, subscription agreement, investor questionnaire, SEC filings, and the state notices. I also handle Reg S and Reg A+ offerings. For fund managers, I set up the LP or LLC, draft the partnership or operating agreement, and determine whether you must register as an investment adviser or qualify for an exemption. FINTECH REGULATION, LICENSING, AND COMPLIANCE I register money services businesses with FinCEN and prepare state money transmitter license applications through NMLS, for one state or many. I also handle FINTRAC registration in Canada. Before any filing, I review how the money actually moves, because that determines which licenses you need. Then comes the program behind the license, including the AML/BSA policy, KYC procedures, transaction monitoring, SAR filing, and OFAC screening. I also work on stablecoin and tokenization questions. BUSINESS FORMATION AND CONTRACT LAW I form the entity and write what goes with it, including the operating or shareholder agreement, founder agreements, and the contracts you'll be signing every week after that. SaaS agreements, MSAs, NDAs, vendor and contractor agreements. MERGERS AND ACQUISITIONS I work with buyers and sellers of privately held businesses, from the letter of intent through due diligence, the asset or stock purchase agreement, the disclosure schedules, and closing. ESTATE PLANNING AND ASSET PROTECTION On the estate side, I draft wills, revocable living trusts, and powers of attorney. For asset protection, I use irrevocable and dynasty trusts, domestic asset protection trusts, SLATs, family limited partnerships, and holding companies. HEALTHCARE HIPAA privacy and security policies, business associate agreements, telehealth compliance, and MSO and professional entity structures for practices and digital health companies. I also write the provider and vendor contracts around them. CYBERSECURITY AND DATA PROTECTION I write information security programs that meet the GLBA Safeguards Rule, incident response plans, privacy policies, and data processing agreements, and I handle CCPA and GDPR compliance. If you've had a breach, I can tell you who has to be notified and by when. INTELLECTUAL PROPERTY Trademarks and patents, including clearance searches, USPTO applications, office action responses, and copyright registration. I write licensing and assignment agreements and review the IP in a deal. AI GOVERNANCE If your company builds or uses AI, I write the governance policy and the acceptable use rules, document model risk, and review the terms with your AI vendors. I check everything against the EU AI Act, the NIST AI Risk Management Framework, and the state laws that apply to you. REGULATORY COMPLIANCE Sometimes the job isn't a filing. It's finding out where you stand. I do gap assessments, write policies and procedures, build compliance calendars, train staff, and get companies ready for an exam. Please message me with where you are and what you’re trying to get done. I’ll tell you what it takes and how long.

🇺🇸Austin, United States$250/hr100% JSS4.71 (7)Since Apr 2020
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