Anderson P.C.
Washington, DC
Serving Clients Nationwide
Big Law Talent, Boutique Value
Service Provider Categories
- Compliance
- Legal
Overview
Anderson P.C. is a U.S. law firm based in Washington, D.C., specializing in providing strategic counsel and regulatory guidance to financial advisors, registered financial advisers, and institutions. Our practice covers a wide range of federal laws and regulations that affect broker-dealers, investment advisers, banks, asset managers, private funds, public companies, senior executives, and digital assets. With a focus on navigating complex regulatory landscapes, we are dedicated to safeguarding our clients’ interests while ensuring full compliance with the latest legal standards.Securities Enforcement
At Anderson P.C., we represent and defend companies and individuals in investigations initiated by U.S. financial regulators, including the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Public Company Accounting Oversight Board (PCAOB), and state regulators. Our team has extensive experience managing enforcement matters related to insider trading, market manipulation, and other securities violations. We work diligently to resolve these issues while protecting our clients’ reputations and mitigating potential risks.
Government Investigations
When a government agency launches an investigation, addressing their inquiries with precision and care is essential. We conduct thorough internal investigations for corporations, boards, and senior executives, focusing on complex regulatory issues such as the Foreign Corrupt Practices Act (FCPA), securities laws, anti-corruption compliance, and other regulatory matters. Our goal is to minimize exposure, navigate the inquiry process, and guide our clients through each stage of the investigation while protecting their interests.
Regulatory Counseling
We provide proactive regulatory counseling to financial institutions, broker-dealers, and public companies on a broad range of compliance matters. Our expertise includes the Investment Advisers Act, the Securities Exchange Act, Regulation Best Interest (Reg BI), the Gramm-Leach-Bliley Act (GLBA), anti-money laundering (AML) rules, the Bank Secrecy Act, and Dodd-Frank. We also advise on global regulatory frameworks like the General Data Protection Regulation (GDPR). Our team helps businesses navigate evolving regulations, ensuring they remain compliant while pursuing growth and innovation.
Internal Investigations
When an internal issue arises, Anderson P.C. conducts discreet and comprehensive investigations to assess potential regulatory breaches, whistleblower claims, or compliance violations. We work with our clients to uncover the facts and guide them through the necessary steps to address and resolve any concerns, ensuring all legal and regulatory obligations are met.
Blockchain & Digital Assets
In the rapidly changing world of blockchain, cryptocurrency, and decentralized finance (DeFi), Anderson P.C. provides specialized legal counsel tailored to the unique challenges of these industries. We assist clients in navigating securities laws, AML regulations, and digital asset compliance, fostering innovation while ensuring regulatory adherence.
Primary Location
1717 K St NW suite 900, Washington, DC, USA
Services Provided
- Compliance Consulting
- General Counsel
- Mock Exams
- Regulatory Defense
- RIA Registration
- Thought Leadership
What to expect in the first meeting
In your first meeting with Anderson P.C., we’ll focus on understanding the unique regulatory and legal challenges you face. First, we will explore your specific needs, whether it’s related to compliance, regulatory filings, enforcement actions, or internal policies. Next, we will provide an overview of how our services are designed to help RIAs navigate the complexities of the financial industry. And finally, we will deliver a clear, actionable roadmap that addresses your immediate concerns and long-term regulatory needs, ensuring compliance and risk management every step of the way. Our aim is to equip you with proactive strategies tailored specifically to the RIA landscape, giving you clarity and confidence moving forward.What We Offer
- Regulatory Counseling
- Securities Enforcement Defense
- Compliance and Supervisory Program Development
- Regulatory Examinations and Audits
- Tailored Compliance Solutions
Special Offer
Financial Advisors: Join Wealthtender today to grow your business and unlock valuable discounts from our industry partners.
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