What We Do

An In-House Perspective on Legal and Compliance Issues

We know that financial advisors are subject to investigation and enforcement action for non-compliance with ethical standards of certifying organizations such as CFA Institute, CFP Board, AICPA and others.

At The Shaw Law Group, we help firms avoid or minimize the impact of such investigations by helping ensure that your policies and procedures are in compliance with regulations and ethical standards. Should you become the subject of an investigation, our attorneys are expert at representing individuals and firms — with integrity, excellence and efficiency.

 

Regulatory Consultation

Review of policies and procedures to ensure compliance with federal and state regulations and with the ethical standards associated with financial services designations.

Compliance Program Development

Guide the development of policies and procedures that are compliant with the legal and ethical standards impacting a firm’s business.

Legal Representation

Representation of individuals and firms that are the subject of an investigation.

Mr. Shaw is the best lawyer I have ever dealt with. He does everything he said he’s going to do. He also kept me updated on how everything was going with my case. I would recommend him to anybody that needed a lawyer.

Rob

Business Owner

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