Author: Dharmi Mehta

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Broker-Dealers | Corporate & Business Formation | Formation Services | Investment Advisers | Legal Risk Management Tips | Outsourced-General Corporate Counsel | RIA, Private Fund, BD, etc.

Strategic Defense Approach to SEC or FINRA Enforcement Actions

September 30, 2024 by

There are several approaches a firm can take if they are faced with an investigation or potential enforcement action for failing to meet regulatory requirements. A firm’s approach to allegations or enforcement actions will depend heavily on their existing compliance culture, their history of documentation and recordkeeping, and their ability to demonstrate their commitment to compliance. … Read More

Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Legal Risk Management Tips | RIA, Private Fund, BD, etc.

So, You Have Been Sued…What Should You Do?

May 30, 2024 by

Litigation is a business risk that unfortunately most businesses will have to deal with at some point. Knowing what to do once you get sued and understanding the procedure will help make the process easier for you.  As your business grows, so does its chance of being involved in litigation whether it be with a former client or customer, a business partner, vendor, or an associate/employee. Despite the parties involved, as with any litigation, the plaintiff (the party filing suit) will have to serve process on the defendant (the party being sued). … Read More