Welcome to The Shaw Law Group Website
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About The Shaw Law Group and Managing Partner Michael Shaw
A highly skilled, results-driven SECURITIES ATTORNEY experienced in providing advice and guidance on a broad range of regulatory, compliance and enforcement matters to broker-dealers, registered investment advisers, hedge funds, private equity firms, and the financial advisors associated with these entities. A former FINRA senior counsel who possesses a thorough understanding of the laws, rules, and regulations pertaining to broker-dealers and registered investment advisers (including the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities and Exchange Act of 1934). A former financial advisor experienced in counseling clients on business strategy, succession planning, investments and insurance. Committed to a culture of excellence and ethics in securing long-term success and profitability for clients.
The Shaw Law Group provide legal and compliance services to broker-dealers, registered investment advisers, hedge funds, private equity firms, and financial professionals associated with these entities. Apply a comprehensive approach to implementing compliance procedures that incorporate firm policies, regulatory requirements and the ethical standards imposed by organizations that issue financial services designations. Services include creation of procedures manual, training, conducting annual compliance reviews, responding to regulatory inquiries, and representation before disciplinary and arbitration proceedings.