Lawrence Kamin’s regulatory attorneys have substantial experience advising firms, and even other attorneys, on complying with capital and operational requirements under SEC, CFTC, and other regulators’ rules. We also have counseled accounting firms performing audits of securities and commodities professionals.
Whether a client needs to set up its financial and operational structure for the first time, or is revising its process to remedy a deficiency notice or keep up with regulatory changes, our team works with each client to find a solution that works for their firm and their regulators.
