Ishimbayev Law Firm provides strategic legal counsel for broker-dealers and investment advisers navigating today’s complex and evolving regulatory environment. We deliver precise, business-aligned compliance solutions that allow our clients to operate confidently within federal and state securities regulations.
ILF’s Broker-Dealer and Investment Adviser Regulation practice is focused on helping firms meet regulatory requirements while maintaining operational efficiency and strategic flexibility. We advise clients across the full compliance lifecycle — from registration and examinations to trading practices and regulatory change management.
Our approach is customized, proactive, and strategic, enabling clients to stay compliant while concentrating on growth, innovation, and investor relationships.
Guidance through initial and ongoing registration for broker-dealers and investment advisers, including preparation and filing of Form BD and Form ADV, with full alignment to federal and state securities laws.
Comprehensive preparation and representation during SEC, FINRA, and state examinations, including pre-audit readiness reviews, on-site support, and post-examination remediation strategies.
Advisory services covering best execution policies, soft dollar arrangements, cross-trades, and other trading practices, as well as drafting and negotiating prime brokerage and trading agreements.
Proactive monitoring of regulatory developments and strategic guidance to help clients adapt operations, mitigate risk, and leverage regulatory change as a competitive advantage.
Design and implementation of tailored risk management frameworks and compliance programs, including written supervisory procedures, compliance manuals, and employee training initiatives.
Ongoing advisory services addressing compliance updates, new product launches, business expansion, regulatory inquiries, and enforcement-related matters.
We help broker-dealers and investment advisers stay compliant, adapt to regulatory change, and move forward with confidence in highly regulated markets.
Assess regulatory exposure, compliance obligations, and core business objectives.
Develop tailored legal and compliance strategies aligned with the client’s operational and growth goals.
Implement policies, procedures, documentation, and training programs to support regulatory compliance.
Provide continuous monitoring, updates, and strategic advisory to address regulatory changes and business evolution.
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