Regulatory

GDCR’s attorneys provide insight from across the firm’s platform to advise clients in the financial services arena as they face regulatory, legislative, supervision, examination and licensing matters.

Today’s changing regulatory landscape requires knowledge, caution and the right touch minimize risk, resolve problems and obtain quality results while navigating the regulatory environment.  Our attorneys have experience with the SEC, FINRA and a variety of state regulators.

Our group is experienced in various facets of financial regulations, including:

  • Bank Regulation & Compliance
  • Broker-Dealer Regulation & Compliance
  • Investment Adviser & Asset Manager Compliance
  • Financial Institution Formation, M&A & Divestment

Our attorneys provide clients with strategic planning, analysis, and interpretation of legislation, amendments, and administrative rules governing the financial services industry. We counsel regulated financial institutions and licensed persons on a host of issues.

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