Avoiding customer complaints and regulatory issues starts with a robust compliance orientation and culture.
Our lawyers have extensive experience in counseling clients on securities laws and other compliance related issues.
We assist clients by:
(1) fostering firm-wide respect for the governing federal and state laws, rules and regulations via customized training and education;
(2) designing and implementing practical and cost-effective solutions which enable clients to present and detect misconduct;
(3) closely monitoring regulatory developments, trends and priorities;
(4) getting ahead of, and to the heart of, regulatory issues; and
(5) preparing them for, and guiding them through, inspections, examinations, sweeps and investigations.