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Regulatory Compliance

 

Shipkevich Law Firm understands its clients’ needs when it comes to best practices in compliance with government rules and regulations. We work closely with our clients to accomplish cost-effective regulatory compliance while appreciating their need for business development, and routinely alert them to newly proposed and enacted rules and regulations, including CFTC and NFA rules, as well as off-shore regulatory changes. Our attorneys and staff have experience providing regulatory counseling to:

  • Retail Foreign Exchange Dealers (RFEDs)
  • Futures Commission Merchants (FCMs)
  • Commodity Trading Advisors (CTAs)
  • Commodity Pool Operators (CPOs)
  • Domestic and off-shore Hedge Funds
  • Introducing Brokers (IBs)

Shipkevich’s regulatory compliance services include:

  • Anti-money laundering (AML) policies
  • Promotional material compliance review
  • Supervision and surveillance of Associated Persons
  • Electronic Trading Systems (ETS) policies
  • Business Continuity and Disaster Recovery (BCDR) Plans
  • Audits of AML, ETS, and BCDR procedures
  • Enhanced supervision
  • Training staff on AML, ethics, and fraud detection
  • Compliance issues under Dodd-Frank

Recent Work

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Publications

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