Avoiding Regulatory Turmoil in a Turbulent Market

| May 8, 2018 | Firm News

As discussed in a previous post, being on the wrong side of a civil or regulatory action is a much more present threat to investors and businesses than a criminal complaint.

Regulatory bodies such as the Securities and Exchange Commission (SEC) have the potential to throw your strategy into turmoil as you work to navigate the ups and downs of the market in 2018.

Regulatory actions are an always present risk. Much of the focus today is on helping investors navigate an extremely volatile stock market, highlighted by the Bloomberg piece, “How Portfolios Should Get Through This Market Volatility”. Professionals who take the long view on financial matters understood this period was inevitable after a long stretch of consistent returns; the only question was when “the transition from liquidity-powered markets for risk-assets to those influenced a lot more by fundamentals” was to occur.

On the other hand, regulations always need to be reckoned with. Even more challenging is the fact that they are often being implemented and rescinded as State and Federal regulatory bodies bend to the whims of the politicians who appoint members to their agencies and boards.

How can you stay on the right side of State and Federal regulators as your strive to grow your operation? When it comes to regulatory compliance, an ounce of prevention is worth a pound of cure. It is crucial to have seasoned attorneys looking our for your interests and resolving potential issues before they cost you time, energy, and money. Unfortunately, that is not always enough. If an agency does take action, you need litigators capable of achieving favorable results in civil court.

At Ford O’Brien, our attorneys have the real-world experience necessary to provide you with a thorough and comprehensive approach to protecting your business and legal interests. Learn more.