Compliance and Investigations

Financial compliance is a rising concern for companies, as various scandals have impacted the industry over the past several years, resulting in large scale losses for many companies and individual investors—some who may never return to investing. While the merger of NASD with NYSE Regulation creating FINRA should provide some relief for companies, the amount of oversight from both private regulators and the Securities and Exchange Commission (SEC) continues to increase. This will lead to a greater need for financial compliance expertise. ALG knows the industry and has the expertise and financial industry contacts that can help you and your business stay current with regulatory compliance requirements.

Compliance and Investigations Sub-Practice Areas:

• Corporate Counseling and Governance
• Fraud and Investigations