Regulatory Advisory

Regulations are implemented. They evolve. New ones take effect. As part of the financial services industry, they often drive the way you do business and challenge the way your organization operates. In today’s highly litigated environment, the legal ramification for lack of compliance is not worth the risk. One misstep can lead to a high profile scandal, tarnish your reputation, cause profits to plummet, and negatively affect employees, shareholders and the community. Often, a lack of knowledge of these complex regulations contributes to this exposure.

Navigant’s Financial Services team works with mutual funds, hedge funds, private equity firms, broker dealers and banks to provide tailored expertise throughout the lifecycle of developing and implementing governance programs. We help clients understand, analyze and implement solutions that afford them a sufficient comfort level with the appropriateness of their compliance and risk mitigation efforts.

We advise clients with implementation of the governance, risk and compliance issues associated with a spate of regulations, including Rule 38a-1 of the Investment Company Act of 1940, Rule 206(4)-7 of the Investment Advisors Act of 1940, NASD Rules 3012 & 3013, Foreign Corrupt Practice Act, Anti-Money Laundering and Sarbanes-Oxley. We develop operational approaches aligned with enforcement standards and turn traditionally burdensome activities into drivers of shareholder confidence and business performance.