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Regulatory

Delivering The Results You Deserve

CMF has a combined 75+ years of experience in representing clients in corporate transactions, and business and commercial disputes. Our team has significant experience in all phases of litigation in federal and state courts, as well as arbitration forums, from the initiation of the action through trial.  With offices in Manhattan, Long Island and Beverly Hills, the firm reflects the sophistication of the business and financial capital of the world, New York City. Our committed and skilled attorneys represent a broad client base including individuals, start-ups, small and mid-sized private companies, public companies, brokers, broker-dealers, private equity firms and hedge funds.

We Are Here To Help

We have expertise advising clients on corporate, securities, commodities and derivatives regulatory and operations matters with particular emphasis on the organization, operations and regulatory compliance of investment management firms, private equity, venture capital and hedge fund sponsors and broker-dealers.

We also advise clients on the regulatory matters associated with mergers and acquisitions involving regulated entities, Investment Company Act analyses and new securities product development. We offer our clients experienced, practical and personalized solutions, not just technical legal advice, to enable our clients to best achieve their business goals in a highly regulated environment.

Our experience includes:

  • Initial SEC registrations
  • FINRA membership
  • Development of compliance programs
  • Substantive reviews of operating and compliance policies and procedures
  • Compliance training programs
  • SEC and other regulatory examinations
  • Regulatory reporting (e.g., 13D, 13F, 13G, 13H, Form PF)

Meet The Partners