Regulatory Compliance and Enforcement
Financial services organizations and professionals face a web of complex regulations and must deal with a wide variety of regulatory agencies at both the state and national levels. Simply put, regulatory compliance has never been more important — or more demanding — than in today’s financial services industry. At Johnston Barton, we understand the regulatory challenges that banks, financial services companies and financial professionals face today, and the ones they will face in the days to come.
Our Banking and Financial Services Team assists highly regulated clients in complying with their legal and regulatory obligations. Whether it’s helping design and implement a compliance program, assisting with compliance training, conducting internal investigations or proactively counseling boards and managers on regulatory obligations, we know the financial services industry and can offer practical advice and real-world solutions and guidance. We also have extensive experience in advising and defending clients who may become exposed to regulatory enforcement activities and white-collar defense matters. Our lawyers regularly represent clients before the SEC, state securities and banking regulators, FINRA and the Internal Revenue Service, among others. From routine audits to civil and criminal enforcement proceedings, we know what it takes to vigorously defend clients facing regulatory scrutiny.
The Johnston Barton team has deep experience in the industry, including lawyers who have served as general counsel for a publicly traded financial services company and as chief legal counsel for a national investment advisory firm. We regularly represent financial services industry participants before federal and state regulators, and our lawyers also have extensive experience in representing publicly traded financial services companies in SEC reporting and disclosure matters. Our clients have included local, regional and national banks, investment advisers, broker-dealers, investment banks, registered representatives, venture capital and private equity firms, and diversified financial services firms.
At Johnston Barton, we know the regulatory environment for financial services clients gets tougher and more complicated every day, and we know how to help those clients face those challenges. Whether it’s compliance counseling or enforcement defense, our Regulatory Compliance and Enforcement Team provides knowledgeable and committed representation to the financial services industry.