UB Greensfelder provides a full range of legal services to its clients in the financial services industry. Our clients include banks and trust companies, investment companies, investment advisers, broker-dealers, venture capital and hedge funds, insurance companies, pension plans and consultants, and other industry participants. In addition to its technical expertise, UB Greensfelder’s Financial Services Regulatory practice provides high-quality, pragmatic, prompt, and cost-effective legal advice to its financial services clients.
Our interdisciplinary approach to counseling clients combines the knowledge of lawyers familiar with current banking and financial services regulations, consumer and privacy law, the federal and state securities laws, the Employee Retirement Income Security Act of 1974 (ERISA), the Revenue Code, commodities regulation, and federal and state banking and insurance laws. Several of our attorneys have worked at the Securities and Exchange Commission (SEC), investment management firms, banks, broker-dealers, and insurance companies, enabling us to provide practical insight into handling legal matters for our clients.
In our practice, we:
- Represent banks and credit card companies in a range of consumer and regulatory issues.
- Counsel public companies on Sarbanes-Oxley issues.
- Analyze, and where appropriate, obtain informal or formal guidance from regulatory authorities on a broad range of banking, broker-dealer and investment adviser and investment company compliances issues.
- Form, register, and represent investment companies, hedge funds, and investment advisers, and counsel clients on regulatory compliance matters.
- Assist and advise public companies in making required filings with the SEC and other regulatory agencies.
- Develop and review compliance guidelines for regulated entities.
- Counsel clients on sales, acquisitions and mergers of financial institutions, and investment advisers and funds.
- Structure entities and transactions to avoid regulation and registration under the Investment Company Act of 1940 and Investment Advisers Act of 1940.
- Represent clients in regulatory and investigatory matters including SEC enforcement proceedings, OCC and OTC enforcement proceedings, CFTC enforcement proceedings, proceedings instituted by the securities divisions of state, white collar criminal proceeding, and proceedings instituted by FINRA and the various stock exchanges.
