It can be very challenging to prepare for regulatory examinations conducted by the SEC, FINRA, or the state. The Team at MAH Advising, LLC (“MAH”) has a wealth of experience managing regulatory examinations and can help you with the following:
When responding to inquiries from the SEC, FINRA, or other regulatory bodies, it is especially important to be prompt, thoughtful, and accurate when addressing each issue or flaw. This is especially the case if there are claims of securities law violations. MAH understands and knows our clients’ businesses. This makes it possible for us to respond quickly and effectively to regulatory questions and claims at the state and federal levels. With years of experience responding to SEC, FINRA, and other government inquiries, MAH is ready to address any issues or claims, such as:
We sincerely hope that a regulatory examination or investigation will not result in enforcement. However, if this occurs, you must have the assistance of the SEC and state regulatory counsel. Whether you decide to file a Wells notice, engage in settlement negotiations, or move forward with an administrative proceeding, our attorneys are prepared to offer you advice on how to proceed.
MAH provides timely and effective regulatory responses on behalf of broker-dealers, investment advisers, hedge fund managers, and other clients in the financial and securities industry throughout the United States.