Who We Serve

Legal Services By and For Financial Services Experts

We believe that everyone deserves someone in their corner. If you’re a financial services firm or advisor, The Shaw Law Group is with you. We help you plan for, manage and respond to legal and compliance issues — every step of the way.

The Shaw Law Group was built on expertise in the legal and compliance issues faced by financial services professionals. We proudly serve financial services firms and advisors with an in-house perspective on legal, compliance and ethical matters.

Registered Investment Advisers

  • Counsel on the Advisers Act
  • Assist with federal (IARD) and state registration filings, including:
    • Preparation/review of Form ADV, Parts 1 and 2
    • Draft/review of investment advisory agreement
    • Draft/review of policies and procedures and code of ethics
  • Review marketing materials, including content on firm’s website and third party websites
  • Conduct annual review/gap analysis of firm’s compliance program and make recommendations to close gaps and mitigate risk
  • Prepare for SEC and/or state examinations and respond o regulatory inquiries and deficiency letters
  • Represent firms and financial advisors in disciplinary proceedings before SEC and state regulators, FINRA and other arbitrations and administrative proceedings before CFO Institute, CFP Board, AICPA and other regulators of financial services designations

Broker-Dealers

  • Counsel on FINRA rules
  • Assist with CRD registration filings, including:
    • Preparation/review of Form BD, U4 and U5,
    • Review written supervisory procedures, Business Continuity Plan, and Continuing Education Program
  • Conduct branch office audits
  • Represent firm and its registered representatives in disciplinary proceedings before FINRA and state securities regulator

Financial Advisors Who Hold Financial Services Designations

  • Counsel on the ethical standards associated with financial services designations held by the firm’s advisors
  • Review firm policies and procedures, and standard operating procedures to determine whether compliant with federal and state regulations and whether ethical standards’ requirements are incorporated
  • Draft or review financial planning agreement, or modify existing investment advisory agreement
  • Represent financial advisors in disciplinary proceedings before quasi-governmental organizations such as CFA Institute, CFP Board, AICPA and others

Michael was extremely professional and knowledgeable in a variety of CFP® compliance matters. We would definitely consult with Michael again in the future and strongly recommend his experience and expertise.

John

Chief Compliance Officer of an RIA Firm

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