Legal & Regulatory Advisory Services
FinReg Capital & Legal Advisory, PLLC provides legal and regulatory advisory services to investment managers, issuers, and financial services firms navigating U.S. securities and regulatory frameworks.
he firm advises investment managers, issuers, and financial services businesses on securities law and regulatory matters.
No. An attorney–client relationship is formed only upon execution of a written engagement agreement.
No. The firm does not act as a broker-dealer, placement agent, or investment adviser unless expressly agreed in writing and permitted by law.
Engagements typically begin with an initial discussion to understand the scope of the inquiry. If appropriate, services are provided pursuant to a written engagement agreement that outlines the scope of work and applicable terms.
Yes. The firm regularly reviews and provides comments on offering materials, disclosure documents, and compliance materials prepared by other counsel, consultants, or service providers, subject to the scope of the engagement.
Yes. Depending on the nature of the engagement, the firm may provide ongoing legal or regulatory advisory and compliance support pursuant to a written engagement agreement.
