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.