The changing and increasingly complex legislative and regulatory environment governing financial goods and services and their distribution and the high stakes for clients necessitate specific knowledge from professionals in this industry.
Our Financial Products and Services Group lawyers can advise you on all legal issues about the financial products and services industry, including the registration of firms and other entities, regulatory compliance of financial products and services, the development of new and innovative products, and the compliance and governance of registrants, as well as assistance with regulatory authority inspections, compliance reviews, and compliance audits.
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We regularly appear in civil courts and regulatory authorities and advise and support our clients in litigation and search and seizure cases. In addition, we provide training to various financial sector participants and practitioners, focusing on the duties and obligations of representatives.
Insurance businesses (damage insurance, life insurance, and reinsurance), agents, insurance brokerage firms, and investment advisors are among the clients served by our personnel.
The seasoned lawyers at 1st Generation Financial Group can provide a wide range of integrated services to assist you in effectively completing transactions and marketing unique financial goods and services. We also offer preventative counsel and can defend you in any disagreement, thanks to our extensive knowledge of many types of files, whether it’s a disciplinary problem, a regulatory compliance issue, or a professional liability matter. We can quickly mobilize a team of specialized lawyers to help you achieve your objectives and find the best solution to your situation due to our experience dealing with regulators, multidisciplinary approach, and collaborative work with members of the firm in other practice areas such as securities, mergers and acquisitions, banking services, and tax.