Ensuring Compliance With Financial Industry Standards
In the current economic flux and regulatory uncertainty, state blue sky and federal finance services laws (commodities, futures, Forex, securities) are evolving and changing at a pace that can be challenging to understand or comply with. For today's businesses, keeping abreast of financial transactions, ensuring a profitable business and staying afloat are priority. It can be difficult to ensure that your business maintains compliance with current regulatory standards. May Law, PC, in Chicago, Illinois, focuses on providing consulting and advising services involving regulations and compliance in the financial services industry (commodities, futures, Forex and securities).
Protecting Your Business: Working With the Law on Your Side
A regulatory or compliance consultant can be expensive and unable to compete with the knowledge and experience of a financial industry attorney, who can often handle the same issues at the same cost while standing behind the work. May Law, PC, stands by their experience, service, ethics and work capabilities at every level, from evaluation and analysis, through the delivery of secured results to insulate your business against liability from federal, state and self-regulatory organizational (SROs), regulators, former or current clients and employers.
May Law's Chicago financial services compliance attorney can assist your business with:
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Regulatory consulting - Drafting financial documents
- Creating compliance and supervisory manuals
- Form ADV preparation and amendments
- Code of ethics
- Developing business continuity plans
- Compliance training
- Developing best practices
- Purchase and sale of entities
- New and continuing member applications (CMA) to self regulatory and exchange organizations
- Securities, FOREX, futures and commodities compliance
- Drafting anti-money laundering (AML) procedures
Experienced Advocacy and a Commitment to Service
May Law, PC, has extensive experience working in diverse industries, including representing securities and futures firms, both small and large. Primary lawyer, Andrew S. May, knows that every business is unique and faces different challenges. He will take the time to understand your concerns, provide an honest evaluation and assessment, and take appropriate legal action to secure your business. May Law, PC, has prepared compliance for programs for regional broker-dealers (BDs), Registered Investment Advisors (RIA), Commodities Trading Advisors (CTA), and Commoditiy Pool Oporators (CPO) and advised on sales practice questions and consulted and conducted internal investigations.
Free consultations · Se habla español · Hours: 8:30-5:30, Monday through Friday, evening and weekend hours by appointment · Call 224-534-0579 or contact May Law, PC's Cook County compliance planning attorney by e-mail for an initial consultation or case evaluation.
