Financial Services - Regulatory Compliance and Defense
The firm represents and advises individuals and financial institutions in SEC, FINRA, and state securities regulator matters, and assists investment adviser and broker dealer firms with compliance issues. Specific areas of practice include:
- SEC/FINRA/MA Securities Division investigations and enforcement actions.
- Compliance matters for investment advisers (RIAs) and broker-dealers, including drafting client agreements, U4/U5 language, custody issues, Form ADV Brochures, AML practices, employee termination issues, codes of ethics, Regulation S-P, Regulation Best Interest, etc.
- Registration, licensing, and heightened supervision issues (MA Sec. Division).
- Broker Dealer registration and FINRA Rule 1017 Continuing Membership Applications.
- Investment Adviser Firm registration (SEC and state).
- Internal investigations relating to allegations of securities law violations.