legal information
We provide a variety of legal knowledge and information, and inform you about legal procedures and response methods in each field.
Financial Consulting
Financial Consulting clients face a complex and ever-evolving legal and regulatory environment. At SJKP LLP, our team advises institutions across the banking, insurance, and asset management sectors on transactions, compliance, and risk management with deep industry insight and a multidisciplinary approach.
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1. Financial Consulting in Strategic Transactions
Financial Services transactions, including mergers, acquisitions, and joint ventures, require specialized legal support. We advise on deal structuring, licensing, regulatory clearances, and risk allocation, ensuring alignment with both strategic goals and compliance obligations.
Financial Consulting and Banking Transactions
We represent in complex M&A deals, lending platform acquisitions, and fintech partnerships, including regulatory reviews under the Bank Holding Company Act and other federal laws.
Financial Consulting and Insurance Transactions
Our attorneys guide insurers and investors in domestic and cross-border transactions, portfolio transfers, and reinsurance structures involving DOI approvals and NAIC standards.
2. Financial Consulting in Regulatory Compliance
Financial Services providers must comply with a vast network of federal, state, and international regulations. We provide tailored advice on BSA/AML, SEC and FINRA rules, ERISA compliance, privacy, and risk governance systems.
3. Financial Consulting and SEC/FINRA Oversight
We counsel broker-dealers, investment advisers, and fund managers on compliance with regulatory filings, audits, and enforcement proceedings under SEC and FINRA.
Financial Consulting and Banking Supervision
We help clients address regulatory expectations from the OCC, Federal Reserve, and state banking regulators concerning capital, affiliate transactions, and governance practices.
4. Financial consulting in Asset Management and Investment Funds
Financial Services law intersects with investment fund governance and capital markets. Our lawyers support asset managers on fund formations, SEC filings, compliance programs, and investor disclosures.
Financial Consulting and Fund Formation
We advise institutional sponsors on launching private equity, hedge, credit, and real estate funds, with structures compliant with U.S. and offshore jurisdictions.
Financial Consulting and Investor Reporting
Our team ensures that disclosures to limited partners, regulators, and third-party service providers meet best practices and legal standards.
The information provided in this article is for general informational purposes only and does not constitute legal advice. Reading or relying on the contents of this article does not create an attorney-client relationship with our firm. For advice regarding your specific situation, please consult a qualified attorney licensed in your jurisdiction.
