Call (410) 624-5744 or email for more information.
About Michael’s Law Practice
Practical, Expert Legal and Compliance Services for Investment Advisers, National Banks and Other Financial Services Firms.
Services provided by Michael Scanlon, a client-focused attorney with over 25 Years of business and financial services experience.
Michael Scanlon founded his law practice to provide tailored legal services that help investment advisers, national banks and other financial services firms understand and comply with the ever-changing landscape of regulatory requirements.
An important goal is to help firms grow, innovate and serve clients while protecting against the negative consequences of noncompliance with laws and regulations.
FS Spotlight
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August-December 2021 Report on Financial Services Regulatory Developments
Happy New Year! Going forward, I will aim to issue this report on a quarterly basis. Below is a summary of select August-to-December 2021 regulatory developments for investment advisers, broker-dealers and other securities market participants. Topics include SEC staffing, an
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June and July 2021 Financial Services Regulatory Developments
Below are summaries of June and July 2021 regulatory developments that may be of interest to investment advisers, broker-dealers, public companies, and other securities market participants. Topics include SEC staffing, an overhaul of the PCAOB, SEC rulemaking, SEC Risk Alerts,
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April and MTD May 2021 Financial Services Regulatory Developments
Below are summaries of April and month-to-date May 2021 regulatory developments that may be of interest to investment advisers, broker-dealers and other securities market participants. SEC Staffing Changes Gary Gensler becomes new SEC Chair on April 17 and appoints initial senior staff
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March 2021 Investment Adviser Regulatory Developments
Below are summaries of March 2021 regulatory developments, including enforcement activity, that may be of interest to SEC-registered investment advisers and other securities market participants. ESG at the SEC The SEC’s ESG focus has implications for enforcement, examinations, and public company