Regulatory Compliance

Shipkevich Law Firm understands its clients’ needs when it comes to best practice compliance with government rules and regulations. We work closely with our clients to accomplish cost-effective regulatory compliance while appreciating their need for business development. Our attorneys and staff have experience providing regulatory counseling to:

  • Retail Foreign Exchange Dealers (RFEDs)
  • Futures Commission Merchants (FCMs)
  • Commodity Trading Advisors (CTAs)
  • Commodity Pool Operators (CPOs)
  • Domestic and off-shore Hedge Funds
  • Introducing Brokers (IBs)
  • SEC & FINRA registered broker-dealers and investment advisors

    • We routinely alert our clients to newly proposed and enacted rules and regulations, including, CFTC, NFA, SEC and FINRA rules, and off-shore regulatory changes; advising and guiding clients to properly comply with new U.S. regulatory requirements.
    Our attorneys have extensive experience in drafting policies and procedures to meet the demands of our clients’ business, such as:

  • Anti-money laundering (AML) policies
  • Promotional material compliance review
  • Supervision and surveillance of Associated Persons
  • Electronic Trading Systems (ETS) policies
  • Business Continuity and Disaster Recovery (BCDR) Plans
  • Audits of AML, BCDR, and ETC proceedures
  • Enhanced supervision
  • Training staff on AML, ethics, and fraud detection
  • Registration and compliance issues under Dodd-Frank