Sadis & Goldberg’s Regulatory Defense & Compliance Group provides a full range of services to assist clients to meet compliance obligations.

We serve registered and unregistered investment advisers, broker-dealers, commodity pool operators and commodity trading advisers, among others. Our attorneys help to develop and review compliance policies, provide guidance and counsel and, via mock audits and reviews, monitor existing in-house policy and procedures to identify and remediate areas of potential concern.

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