Compliance: The firm's Marketing Compliance Practice Group conducts legal review of marketing materials for major investment banks and global asset management companies to ensure adherence to:

  • Bank regulations
  • FTC, SEC and FINRA requirements
  • GIPS standards and MSRB rules
  • Privacy rules and trademark law
  • State law

We handle matters on either a completely outsourced basis or on a case-by-case basis to support in-house legal and compliance departments with overflow.