Regulatory compliance, tailored to the client’s unique structure and business practices, is an integral part of a successful and responsible financial services business.  Michael Scanlon will work with investment advisers, national banks and other clients to determine practical and effective ways for them to comply with the laws and regulations that apply to their businesses.  He seeks to formulate legal advice not in an ivory tower removed from business realities, but instead with an understanding of client business practices, goals and capabilities.

The increasing importance of retirement security and continuing advances in the democratization and accessibility of financial markets make it likely that vigorous enforcement of investment-related laws and regulations will continue. It also seems likely that Congress and regulatory agencies, in a continuing effort to protect investors from dishonesty and mere carelessness, will continue to add to these laws and regulations, making them more demanding and perhaps even increasing potential penalties.

Michael’s expertise and experience, together with his commitment to working with clients, can help investment advisers, national banks and other firms steer clear of the pitfalls of non-compliance and at the same time grow their businesses and effectively serve clients.

Click on “Services” for information about services Michael Scanlon can provide and contact him at (410) 624-5744 or mscanlon@mpslgl.com if you would like more information or have questions. For certain important additional information, click on “Legal Disclosures”.