Securities Regulation & Financial Services

Comprehensive Legal Counsel for Financial Institutions and Market Participants

Gesmer's Securities Regulation & Financial Services practice provides pragmatic, forward-looking legal advice to help clients successfully navigate today's evolving financial regulatory landscape. From launching new financial products and services to managing daily compliance and responding to examinations and investigations, we deliver full-spectrum support to banks, broker-dealers, investment advisers, funds, fintech platforms, and other market participants.

We are deeply attuned to the complex, overlapping requirements imposed by the SEC, FINRA, and state and federal regulators. Our proactive, risk-based approach enables clients to meet their regulatory obligations while advancing business goals.

Regulatory Counseling

We offer strategic, ongoing counsel to public companies and financial institutions on a wide range of regulatory issues. Our advice is grounded in practical experience and designed to help clients navigate disclosure obligations, prevent insider trading violations, maintain AML/KYC compliance, implement anti-bribery and anti-corruption measures, address cybersecurity and data privacy risks, and uphold sound corporate governance practices.

Our lawyers work closely with each client to understand their business model and tailor compliance solutions accordingly-whether they are operating a traditional investment platform or launching innovative fintech products.

Compliance Programs & Supervisory Systems

We help clients develop and maintain robust compliance and supervisory programs that align with industry best practices and regulatory expectations. This includes designing and updating written supervisory procedures (WSPs), drafting compliance manuals and internal control frameworks, advising on the development of compliance tech and automation, and training staff on regulatory risks and response protocols. Whether a client is managing a digital wealth platform, operating a registered investment adviser, or providing custody services, we ensure that their systems are designed to scale with regulatory scrutiny.

Regulatory Examinations & Internal Audits

Facing a regulatory exam can be disruptive and costly—unless it's managed with experience and foresight. Gesmer helps clients prepare for and respond to SEC, FINRA, and state examinations, as well as internal audits. Our services include pre-exam readiness reviews and mock audits, responding to deficiency letters and regulatory inquiries, designing remediation plans and revising compliance programs, and drafting policies and procedures to address identified gaps. We understand how regulators evaluate compliance cultures, and we help clients demonstrate good-faith efforts and effective risk controls.

Monitoring Regulatory Developments

Staying ahead of regulatory change is not just a compliance function—it's a business imperative. Our team actively tracks regulatory trends, rule proposals, and enforcement developments from the SEC, FINRA, CFPB, and state agencies. We distill these insights into actionable advice, helping clients adapt compliance frameworks to new rules, craft internal guidance documents and client disclosures, prepare board and C-suite briefings on regulatory risks, and stay competitive while remaining compliant.

Launch & Lifecycle Counsel for Financial Products

From idea to implementation, we advise on the legal and regulatory aspects of launching new financial products and services. Whether our client is building an investment advisory platform, tokenizing assets, or integrating AI into trading algorithms, we help ensure that regulatory hurdles are addressed from the outset-enabling innovation within compliant guardrails.

Why Gesmer?

Clients rely on Gesmer for pragmatic, responsive, and industry-specific legal support. Our Securities Regulation & Financial Services group combines technical knowledge with business savvy to provide the clarity, guidance, and confidence clients need in an increasingly complex regulatory environment.