Banking & Financial


Banking and Financial Services

Our customized and client specific approach navigates federal, state, local, and international rules, and regulations. Capabilities include:

  • Review of corporate, SEC, FINRA, CFTC, AML/KYC, fair lending, governance, ethics, and other compliance programs.
  • Development of cost-effective compliance programs and processes for institutions of all sizes.
  • Guidance on high net worth onboarding protocol and development of product documentation in line with regulatory expectations.
  • Advice on the overlap of bank regulations with BD/IA rules and regulations and related exemptions.
  • Preparation for and management of regulatory inspections/examinations and audits.

Sample Projects

  • Prepare client registrations with SEC (advisory) and FINRA (brokerage). 
  • Advised brokerage client on insider trading review resulting in no corporate enforcement action. 
  • Successfully represented former mutual fund CFO client in defending state securities license and enabling him to apply for federal license registration. 
  • Advised an early stage financial firm on the successful launch of advisory, mutual fund/ETF, and brokerage distribution businesses.
  • Managed wind-down of business units and withdrawal of brokerage registration for a financial client as part of the client’s restructuring of its operations.