Practice Groups
Regulatory & Compliance
Our Regulatory & Compliance Group advises registered investment advisers, broker-dealers, banks (investment and commercial), commodity pool operators, commodity trading agents and more. Our attorneys assist clients in developing, reviewing and enhancing their compliance policies and monitoring the efficacy of such systems. We regularly review and revise compliance manuals, investment advisory agreements and marketing documents, and provide legal guidance on trading and investment practices. We also counsel clients with respect to informal inquiries, no-action letters, Well's notices, examinations, formal investigations and enforcement actions.
Sadis & Goldberg regularly conducts mock audits and reviews for our clients. These audits typically encompass a review of compliance documents, policies and procedures required to be maintained under federal and state securities laws. We also inspect the client's physical operations and interview the client's staff. The review culminates in a report issued either by the Financial Services Group or by an independent auditor. The report is designed to highlight areas of concern and provide guidance for improvement. These regulatory reviews are tailored to the specific needs of each client.