Rimon’s Regulatory, Compliance and Corporate Governance attorneys advise clients on best practices to prevent shareholder and government scrutiny. Our clients include companies of all sizes, funds, c-suite executives, boards, and human resources and compliance departments.
Regulatory
We provide regulatory and compliance advice to our financial services and investment management clients in connection with their transactional activities, including advice on SEC reporting requirements and on government regulations associated with conducting business in foreign markets. Our regulatory experience includes advising various clients on implementing and operationalizing the GDPR, CCPA and evolving state and federal privacy regulations, representing clients in contested proceedings and rulemaking proceedings before regulatory agencies and counseling financial services clients on all aspects of investment management regulation, including under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, Sarbanes-Oxley, ERISA and the USA PATRIOT Act.