Investment Advisor Regulatory and Compliance Matters
Broker-Dealer Regulatory
and Compliance Matters
Regulatory Examinations, Inquiries, and Enforcement Actions
Arbitration and Litigation
Provide Legal and Regulatory Counsel on New Business Initiatives
Legal Agreement Review and Drafting
General Business and Corporate Law Representation
Temporary Counsel and Compliance Assignments
_Securities Law Practice Areas
 

Provide Legal and Regulatory Counsel on New Business Initiatives
...........................................................................................

Design and conduct gap analysis for compliance and
supervisory procedures and other control systems and
procedures.

Draft new procedures, agreements, and required disclosures.
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