Regulatory Counseling

At Anderson P.C., we provide comprehensive regulatory counseling for public companies, financial institutions, broker-dealers, investment advisers, other market participants. Led by Principal Attorney Braeden Anderson, our firm offers strategic guidance across a wide array of regulatory issues, ensuring that clients remain compliant while also effectively managing risk.

Braeden Anderson’s practice draws on years of experience advising companies on critical compliance matters, including disclosure requirements, insider trading, AML/KYC, anti-bribery, cybersecurity, and corporate governance. This hands-on approach ensures that each client’s unique business objectives are understood and supported with tailored compliance solutions.

Regulatory Compliance and Supervisory Programs

We assist clients with the development and maintenance of robust compliance and supervisory programs to meet regulatory obligations. This includes advising on compliance with:

  • Insider trading and disclosure obligations

  • AML (Anti-Money Laundering) and KYC (Know Your Customer) protocols

  • Cybersecurity and data privacy requirements

  • Anti-bribery and corruption measures

  • Corporate governance standards and risk management practices

Our team also supports clients in launching new products and services, ensuring that regulatory hurdles are addressed from the outset. Whether advising on digital platforms, investment advisory programs, or data privacy protocols, we ensure clients are well-prepared to navigate today’s regulatory landscape.

Regulatory Examinations and Investigations

Anderson P.C. helps clients prepare for and respond to regulatory examinations and internal audits. We work closely with clients to address compliance issues identified during regulatory reviews, helping to develop remediation strategies that minimize risk and maintain regulatory compliance. Our services include the development and enhancement of policies and procedures, revision of internal compliance systems, and the creation of new compliance protocols tailored to each client’s needs.

Monitoring Regulatory Changes

At Anderson P.C., we proactively monitor regulatory trends, new rule-making, and enforcement actions from bodies such as the SEC, FINRA, and state securities regulators. We work closely with clients to ensure they remain ahead of regulatory developments and assist in the implementation of new rules and interpretations. Whether it’s crafting compliance policies or preparing for regulatory changes, Anderson P.C. ensures clients are always positioned to succeed.

Tailored Solutions for Complex Regulatory Needs

Anderson P.C. takes a collaborative approach, working closely with clients to design compliance frameworks that reflect their business objectives while minimizing exposure to regulatory risk.

Contact us today to learn more about how Anderson P.C. can support your business with proactive regulatory counseling and compliance solutions.

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