Financial Regulatory & Compliance Matters

Our team is made up of professionals with direct industry knowledge and experience across the financial services sectors, including securities, banking, insurance, and asset management. We provide advice on regulatory and compliance matters to a broad range of market participants, including high net-worth investors, licensed individuals, banks, brokerages and insurers.

We have a wealth of experience in formulating compliance program to minimize regulatory and reputational risks for institutional clients, in representing clients in inquiries or investigations by the regulators and law enforcement bodies as well as in legal proceedings.