Financial Services & Banking Law

At Anderson P.C., we provide comprehensive legal counsel to financial institutions, banks, investment advisers, funds, broker-dealers, and other market participants navigating today’s complex regulatory environment. Our firm helps clients reduce regulatory risk through proactive and pragmatic solutions, whether they are launching new financial products, managing daily compliance, or defending against enforcement actions.

Expertise in Financial Services

Our extensive experience spans the full spectrum of financial services, ensuring that our clients remain compliant while achieving their business objectives. We assist with matters including:

  • Regulatory Compliance: Providing guidance on anti-money laundering (AML), know your customer (KYC) requirements, and compliance with federal regulations such as the Securities Act of 1933 and the Securities Exchange Act of 1934.

  • Launching Financial Products: Advising on the legal and regulatory frameworks for new financial products and services.

  • Defending Enforcement Actions: Representing clients in investigations initiated by the SEC, DOJ, FINRA, and other federal and state regulators.

  • Internal Investigations: Conducting internal audits and investigations to uncover potential regulatory risks and assess compliance with key regulations.

  • Corporate Governance and Risk Management: Helping clients establish strong internal controls and governance practices to manage regulatory and market risk.

Proactive Regulatory Guidance

At Anderson P.C., we maintain an active dialogue with regulators and industry bodies, allowing us to keep our clients ahead of evolving financial regulations. Our team works closely with financial institutions to design and test compliance policies, prepare for regulatory examinations, and respond to government inquiries. Our expertise in corporate governance and risk management helps clients navigate potential pitfalls while ensuring adherence to state and federal laws.

A Focus on Financial Institutions

We represent a diverse range of financial institutions, including:

  • Banks

  • Investment Advisers

  • Broker-Dealers

  • Private Equity and Hedge Funds

Our services cover key areas such as investment management, capital markets, mergers and acquisitions, and financial product development. Whether advising on AML compliance, data privacy and cybersecurity, or financial investigations, our team is dedicated to helping clients mitigate risk and achieve their goals in a rapidly changing regulatory landscape.

Contact Us

With a deep understanding of the financial services industry, Anderson P.C. is uniquely positioned to provide the guidance and support you need.

Contact us to learn how we can help your organization manage regulatory risk, navigate compliance challenges, and succeed in today’s competitive financial markets.