Regulatory & Compliance

In today’s financial marketplace, firms are challenged to meet an increasingly complex array of regulatory and compliance standards.

Schuyler, Roche & Crisham has deep financial services expertise, supported by a team of attorneys with real world experience across the financial services sector and proven track records in representing our clients’ interests before a range of regulatory bodies.

Matters handled by the Schuyler, Roche & Crisham Regulatory & Compliance team include:

  • Consultation on a full scope of policy and compliance issues at both the state and federal levels
  • Representation in arbitration proceedings and defense against inquiries or actions initiated by FINRA or NFA
  • Successful resolution of issues involving FINRA, SEC, CFTC, CME, NFA and state securities regulators
  • Counsel on compliance issues related to electronic trading systems, websites and promotional materials

At Schuyler, Roche & Crisham, we understand the regulatory pressures your firm faces. Our practical approach and depth of expertise uniquely qualifies us to bring swift resolution to investigations, enforcement actions and your firm’s most pressing compliance-related concerns.

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