Regulatory and Compliance

Regulatory and Compliance Law Firm

De Silva Law Offices: Trusted Counsel for Fund Managers and Traders

At De Silva Law Offices, we guide emerging and established hedge fund managers and CFTC registrants through the evolving regulatory and compliance landscape. Each engagement is tailored to meet your specific needs, providing practical, partner-level support and accessibility.

With over 20 years of legal and regulatory experience, we offer unparalleled counsel to help you navigate the complex regulatory environment and mitigate regulatory risk.

Our Comprehensive Legal Services

  • Commodity Pool Operator (CPO) / Commodity Trading Advisor (CTA) Formation and Operation: Comprehensive guidance from registration to operation.
  • Outsourced Compliance Support: Reliable and efficient compliance management.
  • SEC Registered Investment Adviser (RIA) Registration: Expert assistance with SEC registration processes.
  • Compliance Manual Administration: Development and maintenance of compliance manuals.
  • Regulatory Inquiries and Investigations: Strategic response to regulatory inquiries and investigations.
  • Annual Compliance Review: Thorough annual assessments to ensure ongoing compliance.
  • Compliance Training: Training programs to keep your team informed and compliant.
  • Electronic Communications: Monitoring and management of electronic communication for compliance.
  • Marketing Material Review: Ensuring all marketing materials meet regulatory standards.
  • Risk Assessments: Identifying and mitigating potential risks.
  • Business Continuity Plan: Preparation and maintenance of business continuity strategies.
  • Cybersecurity Policies and Procedures: Development and implementation of robust cybersecurity measures.
  • Security Breach Response: Effective response strategies for security breaches.

Financial regulatory frameworks are constantly evolving in the United States derivatives and equity markets and around the world. The regulatory burden imposed on financial market participants to stay in compliance and meet increased calls for transparency are increasing. The costs of non-compliance are even steeper.

Affordable Flat Fee-Based General Counsel Services

At the Law Offices of R. Tamara De Silva, we offer competitive flat fee-based outside general counsel services for trading firms and funds. Our services cover all your legal needs, including compliance, regulatory issues, and general legal counsel, ensuring you have guidance without the unpredictability of hourly billing. Contact us today to learn how our flat fee structure can provide you with exceptional legal support tailored to your financial needs.

Understanding Regulatory & Compliance Practice

Regulatory and compliance practice deals with the complex laws and regulations governing the securities and derivatives industries, including the Commodity Futures Modernization Act of 2000, the Commodity Exchange Act, the Gramm-Leach-Bliley Act, the Securities Acts of 1933 and 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the SEC and CFTC regulations, the rules of the various derivatives exchanges and clearinghouses and other industry self-regulatory organizations and the “Blue Sky” state securities laws and the changing regulatory regime in the European Union which includes compliance for US and UK firms dealing with entities and investors in the EU. We have experience with the EU’s Sustainable Finance Disclosure Regulation (SFDR) and the Taxonomy Regulation-collectively referred to as the ESG Regulations.“ 

Navigating Regulation & Compliance Challenges

Our Futures and Derivatives Practice is dedicated to addressing the legal, compliance, transactional, and regulatory requirements of financial market participants involved in the dynamic landscape of the financial markets. We specialize in providing comprehensive guidance to our clients as they navigate the complex regulatory environment governed by various regulatory bodies, including the CFTC, the National Futures Association (NFA), the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and other pertinent agencies and self-regulatory organizations (SROs).

Our Founding Attorney, as an experienced futures and derivatives lawyer, brings a profound understanding of the intricate web of regulations and SRO rules that impact financial market participants, along with an insider’s understanding of the financial trading markets.  

Over the years we have represented a wide array of clients, including hedge funds, trading groups, institutional and professional traders, exchange directors, start-ups, mutual funds, alternative asset managers, and other financial market participants. Our involvement spans a broad spectrum of legal, compliance, transactional, and regulatory matters, particularly those related to derivatives and other complex financial instruments. 

Our extensive expertise encompasses:

  • Offering strategic counsel to institutional clients addressing their registration, operational compliance, and cross-border access challenges.
  • Collaborating with trading platform developers and startups in the Fintech space to structure their operations in compliance with regulatory requirements and to guide them on enforcement risk and a lack of clarity in the regulatory regime, where it exists.
  • Assisting Commodity Trading Advisors, Commodity Pool Operators, Registered Investment Advisors, and Introducing Brokers in their registration, disclosure, and other compliance endeavors.
  • Advising Commodity Pool Operators, Commodity Trading Advisors, Introducing Brokers, Futures Commission Merchants, and hedge funds on matters pertaining to registration, ongoing compliance obligations, disclosure, and reporting.
  • Providing guidance to end users on regulatory reporting, speculative position limits, and trading-related issues.
  • Addressing concerns related to information barriers, conflicts of interest, sales practices, trading issues, as well as margin and net capital requirements.
  • Facilitating cross-border transactions for clients and aiding them in achieving compliance with, or exemption from, US commodity futures and securities regulations. We partner with comparable firms in other countries when needed. 

Futures, Derivatives, and Securities Enforcement Overview

For the past 23 years, R Tamara de Silva and the De Silva Law Offices, has represented individuals and entities in a wide range of regulatory and administrative proceedings before trading exchanges, CFTC, FINRA, NFA, and the U.S. Department of Justice (DOJ), including: 

  • Trading Firms 
  • Whistleblowers 
  • Commodity Trading Advisors 
  • Commodity Pool Operators 
  • Brokerage Houses 
  • Hedge Funds 
  • Introducing Brokers 
  • Futures Commission Merchants 
  • Trading Exchange Officials 
  • Trading Exchange Directors 
  • Investment Banking Firms 
  • Registered Representatives & Traders 

R Tamara de Silva also represents officers, board members and other market participants in investigations that have parallel criminal and civil exposure.  

Contact De Silva Law Offices for Litigation and Investigation Support

  • Commodity Futures Trading Commission 
  • Securities and Exchange Commission 
  • Department of Justice 
  • Self-regulatory organizations 
  • Private civil litigation 

Commonly Asked Questions

How does De Silva Law Offices ensure compliance with evolving regulations?

At De Silva Law Offices, we understand that the regulatory environment is constantly changing, particularly in the financial markets. Our approach involves staying updated on the latest regulations and compliance requirements set forth by agencies such as the SEC and CFTC. We conduct thorough annual compliance reviews and provide ongoing compliance training to our clients' teams. This proactive strategy not only helps in identifying potential risks but also ensures that our clients are well-prepared to adapt to any regulatory changes, thereby minimizing the risk of non-compliance.

What should I expect during a compliance training session?

During a compliance training session at De Silva Law Offices, clients can expect a thorough and engaging experience designed to enhance their understanding of regulatory requirements. Our training programs cover essential topics such as the latest compliance regulations, best practices for maintaining compliance, and strategies for mitigating risks. We tailor each session to address the specific needs of your team, ensuring that participants leave with practical knowledge and tools they can apply in their daily operations. This training is crucial for fostering a culture of compliance within your organization.

How can De Silva Law Offices assist with cybersecurity compliance?

De Silva Law Offices recognizes the critical importance of cybersecurity in today's financial landscape. We assist clients in developing and implementing robust cybersecurity policies and procedures that comply with regulatory standards. Our services include conducting risk assessments to identify vulnerabilities, creating comprehensive cybersecurity strategies, and preparing effective response plans for potential security breaches. By partnering with us, clients can ensure that their cybersecurity measures not only protect their operations but also align with the regulatory requirements set forth by governing bodies, thereby enhancing their overall compliance posture.

What Sets Us Apart From Other Regulatory & Compliance Law Firms

Unique among other regulatory and compliance firms, our firm is also a litigation firm which partners with white collar lawyers with unsurpassed experience defending individuals in enforcement actions brought by the Department of Justice. DeSilva Law Offices is well positioned to defend our clients before the regulatory and self-regulatory organizations. When our clients are faced with litigation brought under the Commodity Exchange Act or investigations, led by numerous agencies and other authorities, including the U.S. Department of Justice, the Commodity Futures Trading Commission, the National Futures Association, the Securities and Exchange Commission and FINRA, our firm is able to effectively and aggressively to manage risks, often bringing litigation and investigations to a favorable resolution.

Contact Our Regulatory and Compliance Attorneys Today | Read More On Our News Page Here

  • Specialization

    Specialization in the law governing the trading markets, combined with an industry insider’s understanding equal unparalleled expertise.

  • Strategic Partnership
    R Tamara de Silva has strategic partnerships with some of the best criminal defense attorneys in the country, summoning over 100 years of combined litigation experience.
  • Proven Track Record
    Lead counsel on the first class action involving market manipulation and spoofing in the futures markets under Dodd-Frank.
  • Experience
    With a robust professional journey spanning over two decades, R Tamara de Silva has fostered an extensive repertoire of legal insights, finely honed strategies, and a profound understanding of intricate legal nuances.

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