Regulatory & Compliance

/Regulatory & Compliance
Regulatory & Compliance2018-11-20T18:59:14+00:00

A Securities Compliance Attorney Is Vital to Your Organization’s Long-Term Success

Today’s securities laws and regulations are remarkably complex. Without guidance from a knowledgeable legal team, it’s easy to make errors that make you noncompliant with both federal and state laws. Rather than face civil and criminal liability, your organization should build a compliance system that identifies and manages your risk.

securities compliance attorney

Mangum & Associates has a considerable breadth of SEC regulatory and compliance experience, ranging across every one of our services and disciplines. This includes representing a variety of domestic and international clients such as hedge funds, start-up companies, private equity funds, FINRA broker/dealers, venture capitalists, individual entrepreneurs, and more on almost any aspect of a financial transaction.

Our regulatory and compliance attorneys will counsel you on day-to-day operations to ensure you are always in accordance with ever-changing federal and state securities laws and regulations.

Securities Laws and Regulations Are Continually Evolving

The modern financial and securities industries are highly regulated and constantly in flux. The SEC and state regulatory agencies frequently change their procedures, requirements, and enforcement priorities. Unless you have a clear understanding of the current rules and your compliance, it’s easy to make costly mistakes that can damage both your transactions and reputation. To avoid this, it’s vital to have a securities compliance attorney on your team.

When you work with Magnum & Associates, you’ll benefit from our careful tracking of securities law developments as well as our thoughtful and practical advice.

Proactive Securities Compliance Audits and Strategic Planning

If you’re involved in the securities industry, you should regularly schedule assessments of your SEC and Blue Sky law compliance. These audits can help you identify institutional weaknesses and build solutions — and therefore eliminate the risk of an SEC investigation or enforcement action. If it’s been years since your last securities compliance audit, now is the time to contact Magnum & Associates.

We take a proactive and hands-on approach to securities compliance and strategic planning. Depending on our clients’ unique needs, our services include the following:

  • Assessing compliance with securities laws, including insider trading, financial reporting, and antitrust rules
  • Internal investigations of whistleblower reports and shareholder derivative demands
  • Legal guidance for board committees, corporate leaders, and entrepreneurs about their fiduciary duties, corporate governance, and reporting obligations
  • Crafting SEC compliance policies and systems that target our clients’ specific needs and industries
  • Educating stakeholders about their responsibilities, including drafting desk manuals and training guides
  • Creating systems that empower and encourage compliance with federal bribery and corrupt practices laws and regulations
  • Building systems that monitor and assist financial advisors, broker-dealers, hedge funds, and other financial organizations with their registration and disclosure requirements

Guiding You Through Agency Investigations and Enforcement Actions

When necessary, we also guide our clients through agency investigations and enforcement actions. This includes securities fraud and antitrust defense, issues involving corporate merger and acquisitions, whistleblower protection claims, and other complex litigation. We also guide clients through arbitration and other dispute resolution proceedings.

securities compliance attorney

Our attorneys assist clients with matters involving the following:

  • Anti-money laundering laws and regulations
  • Bank Holding Company Act
  • Blue Sky laws
  • Dodd-Frank Wall Street Reform and Consumer Protection Act
  • Financial Industry Regulatory Authority (FINRA) rules
  • Foreign Corrupt Practices Act (FCPA)
  • Investment Advisers Act and Investment Company Act
  • Office of Foreign Asset Control (OFAC)
  • Securities Act of 1933
  • Securities Exchange Act and Commodity Exchange Act

If you have questions about these or other securities laws, contact us today. We can connect you with one of our experienced securities compliance attorneys.

Work With a Team of Respected Securities Law Attorneys

We understand that our clients need compliance solutions and strategies that are both forward-looking and effective. Our team of seasoned securities law attorneys is prepared to help them meet their goals.

Our team consists of some of the nation’s most respected and insightful securities compliance lawyers. We have handled compliance matters for both well-established organizations and newly-formed startups. Regardless of the complexity of your needs, we’ll spend the time necessary to understand your baseline and opportunities for improvement. Then, you will work closely with a Magnum & Associate securities compliance attorney, building a plan that protects your business.

Our clients are as diverse as our team. Magnum & Associates has represented both organizations and individuals who are dealing with SEC investigations, complex securities transactions, and a variety of other issues. To learn more about our clients and our core competencies, contact us today. We’d love to hear from you, learn more about your needs, and help you understand both your options and potential strategies.

Improve Your Corporate Governance

Securities compliance involves more than completing a series of SEC forms. Over time, your corporate governance systems should adapt to reflect your organizational needs and the regulatory environment. We work closely with businesses and boards of directors, helping them assess and improve their governance frameworks.

Our services include the following:

  • Advisory opinions for boards of directors and committees on a variety of issues
  • Audits of board and corporate structures, assessing their compliance with securities and other federal laws
  • Board oversight and legal education
  • Crafting board guidelines and policies, including codes of conduct, nomination procedures, and disclosure requirements
  • Guiding organizations through crisis situations as well as change management
  • Reviewing and improving risk management policies
  • Succession planning

Whether you need a routine assessment or help with a pressing issue, Magnum & Associates has both the skill and insight your organization requires.

Request a Consultation With a Securities Compliance Attorney

Magnum & Associates has built a reputation for exceptional service and strategy. We are considered one of the top-rated boutique securities law firm in the country and serve our clients nationwide. Most importantly, we pride ourselves on our collaborative as well as professional client experience. Contact us today to request a consultation.

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