Compliance

Our corporate and financial compliance attorneys handle all aspects of federal and state securities laws, including corporate governance issues relating to compliance with the Securities and Exchange Commission, the BSA/AML laws and regulations as amended by the USA PATRIOT Act (i.e., FINRA 3310) , and fiduciary responsibilities of directors and officers.

Our compliance attorneys provide your company with a knowledgeable review of the existing circumstances. We can assist you in revising or drafting of required policies, procedures, and internal controls that your company, whatever its size, needs to remain compliant with relevant laws and regulations. We can conduct an independent and objective analysis of your company’s compliance efforts and confirm your company, officers, and directors have implemented prudent and correct policies, procedures, and controls to become or remain compliant with relevant laws and regulations. If necessary, we will recommend specific measures and remedial actions, and if needed, draft new policies, procedures, and controls to protect the business.

Our corporate and financial compliance practice includes counseling with respect to:

  • Gap analysis, review, and prepare findings and recommendations with respect to Rule 38a-1 of the Investment Company Act and Rule 206(4)-7 of the Investment Advisers Act in order to meet SEC and FINRA requirement;

  • Policy and Procedure implementation and review;

  • Audit and review litigation departments in view of the Office of Comptroller Currency (OCC) and Federal Reserve Board (FRB) guidelines on Litigation Management,

  • Audit and review Firm’s AML/KYC Onboarding policies and procedures;

  • Audit and prepare findings and recommendations with respect to Office of Foreign Asset Control (OFAC) and Sanctions Screening;

  • Represent companies before the SEC;

  • Assistance with internal, FINRA, and SEC investigations; ;

  • Review and preparation of forms, including but not limited to, U4, U5, BD, BR, ADV; SEC Form 13F

  • Drafting disclosures and periodic reports;

  • Preparation of audit committee charters, codes of ethics and various other required policies and procedures.

REPRESENTATIVE PROCEEDINGS

SEC v. LPL Financial Corp (formerly LINSCO/Private Ledger Corp.)

SEC v. Aladdin Capital Management & Aladdin Capital LLC