Cappoli Legal & Advisory, PLLC
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Securities and General Counsel Expertise So You Can Focus On Your Business
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Regulatory and Compliance
Compliance can feel overwhelming with regulations coming faster than leaders can respond. We help focus on the priorities that matter most, targeting the areas that deserve attention so you can achieve and maintain effective compliance.
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1
Compliance Policies and Procedures
Off-the-shelf compliance policies may be easy to find, but a better approach starts by identifying and understanding the laws, rules and other requirements that apply to your business. Only then can you assess and prioritize risks and design effective policies, procedures, controls, and practices. Implementation and training are often overlooked, but are essential to making the program work in practice and stand up to scrutiny.
2
Regulatory Strategy and Issue Spotting
Is this a securities issue? Answering this question comes upstream of investigations and examinations. Doing so requires experience and judgement to determine whether the matter involves a legal issue, a control deficiency, or a conduct concern. For example, insider trading policies may have gaps, and disclosure and marketing practices may diverge. We provide judgment-based legal advice and risk assessments to support better decision-making and reduce risk.
3
Multistakeholder Legal and Regulatory Coordination
Successfully managing an event or crisis takes careful planning and judgment to minimize risk. We help align your legal strategy and coordinate interactions across legal, regulatory and other key teams.
