Best Interest Compliance

Best Interest Compliance Counsel

We help formulate compliance practices, supervisory procedures and internal controls and determine whether compliance policies and procedures are implemented as written. Our attorneys draft agreements, disclosure documents and written supervisory procedures to assist with implementing the new standard of care, and supervision of that standard. We also advise clients on developing products and services that are consistent with fiduciary/best interest standards and mitigation and disclosure of conflicts of interest.

Best Interest Investigations, Litigation and Enforcement

We represent clients involved in investigations and enforcement matters before agencies such as the SEC, the Department of Labor (DOL), the Internal Revenue Service (IRS), FINRA and other self-regulatory or state agencies. Our attorneys also provide independent assessments of risk management and supervisory frameworks, and overall compliance policies and procedures related to conflicts of interest, breaches of fiduciary duty and securities law violations. In addition, we represent broker-dealers, investment advisers, insurance companies and other financial services entities in litigation and arbitration matters on standards of care and conflicts of interest.