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Regulatory & Compliance

Regulatory & Compliance

Englander Fischer’s broker/dealer and investment adviser Regulatory and Compliance group is comprised of several attorneys who work closely with our clients to help them maintain compliance in an ever-changing regulatory landscape. As transparency rises in importance and the costs of non- compliance with laws and regulations increase, businesses everywhere strive to adapt to the growing pressure from regulatory bodies.

Our clients come to us to understand their responsibilities, manage risk, lessen the impact of complex regulatory rules on their transactions or day-to-day operations, and to represent them before regulators in examination, inquiry, and enforcement matters, should they arise. With our extensive knowledge of state, federal and self-regulatory organizations (SRO) securities industry regulations, we are well positioned to help our clients deal in successful and innovative ways with regulatory and compliance issues.

Types of issues that we handle for our clients:

  • Communicate, educate, and train on securities compliance issues
  • Design, implement, and monitor effective compliance, programs, procedures, and practices
  • Direct and perform internal investigations to detect potential violations of legal and regulatory
    requirements by an organization’s employees and representatives
  • Perform mandatory compliance reviews/annual audits and risk and conflict assessments
  • Draft agreements and disclosures documents
  • Advise and assist with initial registration applications and ongoing registration amendments and
  • Handle regulatory inquiries, routine and for cause examinations, and enforcement actions
  • Represent organizations and registered representatives in business combinations and

Help ensure compliance with rules and regulations of securities industry regulators including:

  • Securities and Exchange Commission (SEC)
  • Financial Industry Regulatory Authority (FINRA)
  • Municipal Securities Rulemaking Board (MSRB)
  • State Securities and Insurance Regulators
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