Who We Serve

Legal Services By and For Financial Services Professionals

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 30+ years of experience with 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 Investment Advisers Act of 1940
  • Assist with federal (IARD) and state registration filings, including:
    • Preparation/review of Form ADV, Parts 1, 2, and 3
    • 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 to 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 CFP Board, AICPA, and other standard-setting organizations 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 regulators

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 they are compliant with federal and state regulations, and whether ethical standards’ requirements are incorporated
  • Draft, review, and modify, as necessary financial planning agreement, and investment advisory agreement
  • Represent financial advisors in disciplinary proceedings before quasi-governmental organizations such as 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