In the tightly regulated world of securities, compliance is everything. You cannot afford to be penalized by monitoring agencies and organizations such as the SEC, FINRA, CFTC, NFA, IRS, FinCen, OFAC, and more. The Convex Legal team helps investors, companies raising capital, broker-dealers, advisors, funds, and traders understand what is required under evolving financial regulations.
Legal Services for Securities & Trading:
- Outside in-house counsel
- Debt and equity fundraising
- Private placements
- Equity crowdfunding: Regulation A, Regulation CF, and Illinois intrastate
- Term sheets
- Convertible notes and purchase agreements
- Hedge fund formation and compliance
- Structured finance
- Regulatory registration and compliance: SEC, FINRA, SRO, CTA, CPO, broker-dealer, registered investment advisor, blue sky, Know Your Customer (KYC), Anti-Money Laundering (AML)
- Regulatory investigations and arbitration: SEC, FINRA and SROs
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If you are looking for legal counsel in securities, finance, or trading, the team at Convex Legal can help. Fill out our consultation form below and we'll be in touch with you shortly to set up a call.