{"id":90152,"date":"2025-08-26T14:21:13","date_gmt":"2025-08-26T19:21:13","guid":{"rendered":"https:\/\/www.mcguirewoods.com\/?post_type=practice&#038;p=90152"},"modified":"2025-10-14T08:03:27","modified_gmt":"2025-10-14T13:03:27","slug":"investment-advisory-compliance-regulatory-counseling","status":"publish","type":"practice","link":"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/investment-advisory-compliance-regulatory-counseling\/","title":{"rendered":"Investment Advisory Compliance &amp; Regulatory Counseling"},"content":{"rendered":"<style>.kb-row-layout-wrap.wp-block-kadence-rowlayout.kb-row-layout-id90152_a9fd85-5f{margin-top:-80px;}.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);max-width:var(--wp--style--global--content-size);padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;grid-template-columns:minmax(0, calc(64.3% - ((var(--global-kb-gap-md, 2rem) * 1 )\/2)))minmax(0, calc(35.7% - ((var(--global-kb-gap-md, 2rem) * 1 )\/2)));}.kb-row-layout-id90152_a9fd85-5f{--breakout-negative-margin-right:calc( ( ( ( var(--global-vw, 100vw) - ( var(--wp--style--global--content-size) - ( 0px*2 ) ) ) \/ 2 ) *-1) + -1px);--breakout-negative-margin-left:calc( ( ( ( var(--global-vw, 100vw) - ( var(--wp--style--global--content-size) - ( 0px*2 ) ) ) \/ 2 ) *-1) + -1px);}.kb-row-layout-id90152_a9fd85-5f{background-color:#003b5c;}.kb-row-layout-id90152_a9fd85-5f > .kt-row-layout-overlay{opacity:0.30;}.kb-row-layout-id90152_a9fd85-5f{z-index:1;position:relative;}@media all and (min-width: 1025px){.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(2 of *:not(style)){margin-inline-end:calc( 0px *-1 );margin-inline-end:var(--breakout-negative-margin-right);}}@media all and (max-width: 1024px){.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap{row-gap:var(--global-kb-gap-none, 0rem );grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 1024px){.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(1 of *:not(style)){order:2;}}@media all and (max-width: 1024px){.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(2 of *:not(style)){order:1;}}@media all and (max-width: 1024px){.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(3 of *:not(style)){order:12;}}@media all and (max-width: 1024px){.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(4 of *:not(style)){order:11;}}@media all and (max-width: 1024px){.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(5 of *:not(style)){order:22;}}@media all and (max-width: 1024px){.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(6 of *:not(style)){order:21;}}@media all and (max-width: 1024px){.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(7 of *:not(style)){order:32;}}@media all and (max-width: 1024px){.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(8 of *:not(style)){order:31;}}@media all and (min-width: 768px) and (max-width: 1024px){.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap:not(.kt-tab-layout-row) > .wp-block-kadence-column:nth-child(2 of *:not(style)){margin-inline-end:calc( 0px *-1 );}}@media all and (max-width: 767px){.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(1 of *:not(style)){order:2;}.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(2 of *:not(style)){order:1;}.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(3 of *:not(style)){order:12;}.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(4 of *:not(style)){order:11;}.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(5 of *:not(style)){order:22;}.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(6 of *:not(style)){order:21;}.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(7 of *:not(style)){order:32;}.kb-row-layout-id90152_a9fd85-5f > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(8 of *:not(style)){order:31;}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90152_a9fd85-5f alignfull kt-row-has-bg gradient-bottom-border service-hero-section wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-2-columns kt-row-layout-equal kt-tab-layout-row kt-mobile-layout-row kt-row-valign-top kt-inner-column-height-full kb-theme-content-width\">\n<style>.kadence-column90152_6e55b4-7b > .kt-inside-inner-col{display:flex;}.kadence-column90152_6e55b4-7b > .kt-inside-inner-col{padding-top:8rem;padding-bottom:2.5rem;}.kadence-column90152_6e55b4-7b > .kt-inside-inner-col,.kadence-column90152_6e55b4-7b > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column90152_6e55b4-7b > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90152_6e55b4-7b > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}.kadence-column90152_6e55b4-7b > .kt-inside-inner-col > .aligncenter{width:100%;}.kt-row-column-wrap > .kadence-column90152_6e55b4-7b{align-self:flex-end;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90152_6e55b4-7b{align-self:auto;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90152_6e55b4-7b > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}.kadence-column90152_6e55b4-7b > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90152_6e55b4-7b, .kadence-column90152_6e55b4-7b h1, .kadence-column90152_6e55b4-7b h2, .kadence-column90152_6e55b4-7b h3, .kadence-column90152_6e55b4-7b h4, .kadence-column90152_6e55b4-7b h5, .kadence-column90152_6e55b4-7b h6{color:#ffffff;}.kadence-column90152_6e55b4-7b{position:relative;}.kadence-column90152_6e55b4-7b, .kt-inside-inner-col > .kadence-column90152_6e55b4-7b:not(.specificity){margin-top:80px;}@media all and (max-width: 1024px){.kadence-column90152_6e55b4-7b > .kt-inside-inner-col{padding-top:3.8rem;padding-right:2rem;padding-left:2rem;flex-direction:column;justify-content:flex-end;}}@media all and (max-width: 1024px){.kt-row-column-wrap > .kadence-column90152_6e55b4-7b{align-self:flex-end;}}@media all and (max-width: 1024px){.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90152_6e55b4-7b{align-self:auto;}}@media all and (max-width: 1024px){.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90152_6e55b4-7b > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}}@media all and (max-width: 767px){.kadence-column90152_6e55b4-7b > .kt-inside-inner-col{padding-top:2.5rem;padding-right:1.1rem;padding-left:1.1rem;flex-direction:column;justify-content:flex-end;}.kt-row-column-wrap > .kadence-column90152_6e55b4-7b{align-self:flex-end;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90152_6e55b4-7b{align-self:auto;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90152_6e55b4-7b > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90152_6e55b4-7b\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading90152_c2ec66-39, .wp-block-kadence-advancedheading.kt-adv-heading90152_c2ec66-39[data-kb-block=\"kb-adv-heading90152_c2ec66-39\"]{margin-bottom:32px;font-size:3rem;line-height:1.2;font-weight:500;font-style:normal;font-family:Inter;}.wp-block-kadence-advancedheading.kt-adv-heading90152_c2ec66-39 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90152_c2ec66-39[data-kb-block=\"kb-adv-heading90152_c2ec66-39\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90152_c2ec66-39 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90152_c2ec66-39[data-kb-block=\"kb-adv-heading90152_c2ec66-39\"] img.kb-inline-image{width:150px;vertical-align:baseline;}@media all and (max-width: 767px){.wp-block-kadence-advancedheading.kt-adv-heading90152_c2ec66-39, .wp-block-kadence-advancedheading.kt-adv-heading90152_c2ec66-39[data-kb-block=\"kb-adv-heading90152_c2ec66-39\"]{font-size:2.5rem;}}<\/style>\n<h1 class=\"kt-adv-heading90152_c2ec66-39 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90152_c2ec66-39\">Investment Advisory Compliance &amp; Regulatory Counseling<\/h1>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90152_75b084-70, .wp-block-kadence-advancedheading.kt-adv-heading90152_75b084-70[data-kb-block=\"kb-adv-heading90152_75b084-70\"]{font-size:1.25rem;font-style:normal;}.wp-block-kadence-advancedheading.kt-adv-heading90152_75b084-70 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90152_75b084-70[data-kb-block=\"kb-adv-heading90152_75b084-70\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90152_75b084-70 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90152_75b084-70[data-kb-block=\"kb-adv-heading90152_75b084-70\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90152_75b084-70 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90152_75b084-70\">We advise securities industry clients on regulatory, business and compliance issues, offering proactive guidance and strategic, thoughtful responses to governmental scrutiny in equal measure. Acutely aware of how shifting political winds, fluctuating market conditions, and changes to policies and priorities can swiftly alter the regulatory landscape, our lawyers stay abreast of proposed and newly adopted laws, rules and interpretations to ensure clients are cognizant of and have counsel on how to prepare for future requirements.<\/p>\n\n\n<style>.wp-block-kadence-advancedbtn.kt-btns90152_b5605b-da, .site .entry-content .wp-block-kadence-advancedbtn.kt-btns90152_b5605b-da, .wp-block-kadence-advancedbtn.kb-btns90152_b5605b-da, .site .entry-content .wp-block-kadence-advancedbtn.kb-btns90152_b5605b-da{margin-top:40px;}.wp-block-kadence-advancedbtn.kb-btns90152_b5605b-da{gap:var(--global-kb-gap-xs, 0.5rem );justify-content:flex-start;align-items:center;}.kt-btns90152_b5605b-da .kt-button{font-weight:normal;font-style:normal;}.kt-btns90152_b5605b-da .kt-btn-wrap-0{margin-right:5px;}.wp-block-kadence-advancedbtn.kt-btns90152_b5605b-da .kt-btn-wrap-0 .kt-button{color:#555555;border-color:#555555;}.wp-block-kadence-advancedbtn.kt-btns90152_b5605b-da .kt-btn-wrap-0 .kt-button:hover, .wp-block-kadence-advancedbtn.kt-btns90152_b5605b-da .kt-btn-wrap-0 .kt-button:focus{color:#ffffff;border-color:#444444;}.wp-block-kadence-advancedbtn.kt-btns90152_b5605b-da .kt-btn-wrap-0 .kt-button::before{display:none;}.wp-block-kadence-advancedbtn.kt-btns90152_b5605b-da .kt-btn-wrap-0 .kt-button:hover, .wp-block-kadence-advancedbtn.kt-btns90152_b5605b-da .kt-btn-wrap-0 .kt-button:focus{background:#444444;}<\/style>\n<div class=\"wp-block-kadence-advancedbtn kb-buttons-wrap kb-btns90152_b5605b-da\"><style>ul.menu .wp-block-kadence-advancedbtn .kb-btn90152_71270e-7a.kb-button{width:initial;}.wp-block-kadence-advancedbtn .kb-btn90152_71270e-7a.kb-button{color:#003a5d;background:#ffffff;font-size:1.25rem;line-height:1.45;text-transform:uppercase;border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;padding-top:12px;padding-right:32px;padding-bottom:12px;padding-left:32px;}.wp-block-kadence-advancedbtn .kb-btn90152_71270e-7a.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90152_71270e-7a.kb-button:focus{color:#ffffff;background:rgba(0,0,0,0);border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}@media all and (max-width: 1024px){.wp-block-kadence-advancedbtn .kb-btn90152_71270e-7a.kb-button{border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;}}@media all and (max-width: 1024px){.wp-block-kadence-advancedbtn .kb-btn90152_71270e-7a.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90152_71270e-7a.kb-button:focus{border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}}@media all and (max-width: 767px){.wp-block-kadence-advancedbtn .kb-btn90152_71270e-7a.kb-button{border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;}.wp-block-kadence-advancedbtn .kb-btn90152_71270e-7a.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90152_71270e-7a.kb-button:focus{border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}}<\/style><a class=\"kb-button kt-button button kb-btn90152_71270e-7a kt-btn-size-standard kt-btn-width-type-auto kb-btn-global-inherit  kt-btn-has-text-true kt-btn-has-svg-false  wp-block-button__link read-more-trigger wp-block-kadence-singlebtn\" href=\"#\" role=\"button\"><span class=\"kt-btn-inner-text\">Read More<\/span><\/a><\/div>\n<\/div><\/div>\n\n\n<style>.kadence-column90152_f9f42d-e9 > .kt-inside-inner-col{display:flex;}.kadence-column90152_f9f42d-e9 > .kt-inside-inner-col,.kadence-column90152_f9f42d-e9 > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column90152_f9f42d-e9 > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90152_f9f42d-e9 > .kt-inside-inner-col{flex-direction:column;align-items:flex-end;}.kadence-column90152_f9f42d-e9 > .kt-inside-inner-col > .kb-image-is-ratio-size{align-self:stretch;}.kadence-column90152_f9f42d-e9 > .kt-inside-inner-col > .wp-block-kadence-advancedgallery{align-self:stretch;}.kadence-column90152_f9f42d-e9 > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90152_f9f42d-e9 > .kt-inside-inner-col{background-image:url('https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/09\/Services_Banner_Securities_Enforcement__Regulatory_Enforcement-new.jpg');background-size:cover;background-position:50% 50%;background-attachment:scroll;background-repeat:no-repeat;}.kadence-column90152_f9f42d-e9 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90152_f9f42d-e9{position:relative;}.kadence-column90152_f9f42d-e9, .kt-inside-inner-col > .kadence-column90152_f9f42d-e9:not(.specificity){margin-right:0px;}@media all and (max-width: 1024px){.kadence-column90152_f9f42d-e9 > .kt-inside-inner-col{min-height:500px;flex-direction:column;justify-content:center;align-items:flex-end;}}@media all and (max-width: 767px){.kadence-column90152_f9f42d-e9 > .kt-inside-inner-col{min-height:300px;flex-direction:column;justify-content:center;align-items:flex-end;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90152_f9f42d-e9 hide-on-print\"><div class=\"kt-inside-inner-col\"><\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-id90152_402a97-81 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90152_402a97-81 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90152_402a97-81 > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);max-width:var(--wp--style--global--content-size);padding-top:43px;padding-right:0px;padding-bottom:60px;padding-left:30px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90152_402a97-81 > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id90152_402a97-81 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id90152_402a97-81 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90152_402a97-81 alignfull gradient-bottom-border read-more-content wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-1-columns kt-row-layout-equal kt-tab-layout-inherit kt-mobile-layout-row kt-row-valign-top kb-theme-content-width\">\n<style>.kadence-column90152_b69856-50 > .kt-inside-inner-col,.kadence-column90152_b69856-50 > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column90152_b69856-50 > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90152_b69856-50 > .kt-inside-inner-col{flex-direction:column;}.kadence-column90152_b69856-50 > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90152_b69856-50 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90152_b69856-50{position:relative;}@media all and (max-width: 1024px){.kadence-column90152_b69856-50 > .kt-inside-inner-col{padding-right:32px;padding-left:32px;flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column90152_b69856-50 > .kt-inside-inner-col{padding-right:20px;padding-left:20px;flex-direction:column;justify-content:center;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90152_b69856-50\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading90152_4f682c-0d, .wp-block-kadence-advancedheading.kt-adv-heading90152_4f682c-0d[data-kb-block=\"kb-adv-heading90152_4f682c-0d\"]{margin-bottom:30px;font-size:1.25rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading90152_4f682c-0d mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90152_4f682c-0d[data-kb-block=\"kb-adv-heading90152_4f682c-0d\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90152_4f682c-0d img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90152_4f682c-0d[data-kb-block=\"kb-adv-heading90152_4f682c-0d\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90152_4f682c-0d wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90152_4f682c-0d\">McGuireWoods advises on state and federal investment adviser registration for managers and their personnel, as well as on the application of related exemptions. We help clients establish, strengthen and tailor their compliance and supervisory programs to each adviser\u2019s business objectives. Our full-spectrum counseling includes issues relating to Code of Ethics, fiduciary duty, supervisory controls, registration, Regulation S-P, soft dollars, information barriers, conflicts of interest, insider trading, marketing, anti-money laundering, the use of artificial intelligence and cybersecurity. We advise on fee structures and the unique challenges that face advisers registered as or affiliated with broker-dealers. The team also works closely with clients on the structure and sale of new securities products to comply with regulatory requirements.<\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90152_7e0855-4a, .wp-block-kadence-advancedheading.kt-adv-heading90152_7e0855-4a[data-kb-block=\"kb-adv-heading90152_7e0855-4a\"]{margin-bottom:30px;font-size:1.25rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading90152_7e0855-4a mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90152_7e0855-4a[data-kb-block=\"kb-adv-heading90152_7e0855-4a\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90152_7e0855-4a img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90152_7e0855-4a[data-kb-block=\"kb-adv-heading90152_7e0855-4a\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90152_7e0855-4a wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90152_7e0855-4a\">Our attorneys counsel clients on the varying compliance obligations that apply to their different clients, including U.S. registered funds, private funds, institutional and retail clients. McGuireWoods has deep experience assisting with drafting fund offering documents, including subscription agreements and private placement memoranda. We review marketing materials and advise on regulatory considerations in connection with fundraising.<\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90152_15b7d3-56, .wp-block-kadence-advancedheading.kt-adv-heading90152_15b7d3-56[data-kb-block=\"kb-adv-heading90152_15b7d3-56\"]{margin-bottom:30px;font-size:1.25rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading90152_15b7d3-56 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90152_15b7d3-56[data-kb-block=\"kb-adv-heading90152_15b7d3-56\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90152_15b7d3-56 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90152_15b7d3-56[data-kb-block=\"kb-adv-heading90152_15b7d3-56\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90152_15b7d3-56 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90152_15b7d3-56\">With a meticulous, methodical approach, our team collaborates with internal client constituencies to conduct annual reviews and lead internal investigations and audits, which help clients strengthen compliance and supervisory programs or prepare for regulatory examinations. We guide clients through routine and special state and federal regulatory investigations and examinations, as well as represent them in enforcement, and a range of arbitration and litigation matters.<\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90152_fc0046-66, .wp-block-kadence-advancedheading.kt-adv-heading90152_fc0046-66[data-kb-block=\"kb-adv-heading90152_fc0046-66\"]{margin-bottom:30px;font-size:1.25rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading90152_fc0046-66 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90152_fc0046-66[data-kb-block=\"kb-adv-heading90152_fc0046-66\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90152_fc0046-66 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90152_fc0046-66[data-kb-block=\"kb-adv-heading90152_fc0046-66\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90152_fc0046-66 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90152_fc0046-66\">We also advise and support McGuireWoods\u2019 corporate teams regarding securities regulatory matters in connection with debt, private equity, and mergers and acquisitions transactions.<\/p>\n<\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-wrap.wp-block-kadence-rowlayout.kb-row-layout-id90152_99782a-51{margin-top:13px;}.kb-row-layout-id90152_99782a-51 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90152_99782a-51 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90152_99782a-51 > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);max-width:var(--wp--style--global--content-size);padding-top:80px;padding-right:0px;padding-bottom:80px;padding-left:0px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90152_99782a-51{background-color:#bbd5ec;background-image:url('https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/08\/background-vector.svg');background-size:auto;background-position:0% 100%;background-attachment:scroll;background-repeat:no-repeat;}.kb-row-layout-id90152_99782a-51 > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id90152_99782a-51 > .kt-row-column-wrap{padding-right:32px;padding-left:32px;grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id90152_99782a-51 > .kt-row-column-wrap{padding-top:40px;padding-right:20px;padding-bottom:40px;padding-left:20px;grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90152_99782a-51 alignfull kt-row-has-bg wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-1-columns kt-row-layout-equal kt-tab-layout-inherit kt-mobile-layout-row kt-row-valign-top kb-theme-content-width\">\n<style>.kadence-column90152_91cc2e-84 > .kt-inside-inner-col,.kadence-column90152_91cc2e-84 > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column90152_91cc2e-84 > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90152_91cc2e-84 > .kt-inside-inner-col{flex-direction:column;}.kadence-column90152_91cc2e-84 > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90152_91cc2e-84 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90152_91cc2e-84{position:relative;}@media all and (max-width: 1024px){.kadence-column90152_91cc2e-84 > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column90152_91cc2e-84 > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90152_91cc2e-84\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading90152_a73e1c-44, .wp-block-kadence-advancedheading.kt-adv-heading90152_a73e1c-44[data-kb-block=\"kb-adv-heading90152_a73e1c-44\"]{max-width:1150px;margin-right:auto;margin-left:auto;text-align:center;font-size:2rem;line-height:1.2;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading90152_a73e1c-44 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90152_a73e1c-44[data-kb-block=\"kb-adv-heading90152_a73e1c-44\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90152_a73e1c-44 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90152_a73e1c-44[data-kb-block=\"kb-adv-heading90152_a73e1c-44\"] img.kb-inline-image{width:150px;vertical-align:baseline;}@media all and (max-width: 1024px){.wp-block-kadence-advancedheading.kt-adv-heading90152_a73e1c-44, .wp-block-kadence-advancedheading.kt-adv-heading90152_a73e1c-44[data-kb-block=\"kb-adv-heading90152_a73e1c-44\"]{font-size:2rem;}}@media all and (max-width: 767px){.wp-block-kadence-advancedheading.kt-adv-heading90152_a73e1c-44, .wp-block-kadence-advancedheading.kt-adv-heading90152_a73e1c-44[data-kb-block=\"kb-adv-heading90152_a73e1c-44\"]{font-size:1.5rem;}}<\/style>\n<p class=\"kt-adv-heading90152_a73e1c-44 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90152_a73e1c-44\">McGuireWoods\u2019 experienced investment advisory compliance and regulatory counseling team guides clients through the complex and continually evolving regulatory thicket that governs the securities industry. Our securities lawyers leverage 360-degree perspectives and deep insights acquired during their time spent as regulators, senior in-house counsel and private practice to craft compliance approaches designed to preempt, address and neutralize regulatory concerns and requirements with a pragmatic approach that aligns compliance best practices with a nuanced understanding of the industry landscape.<\/p>\n<\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-id90152_c9d570-ba > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90152_c9d570-ba > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90152_c9d570-ba > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);max-width:var(--wp--style--global--content-size);padding-top:64px;padding-bottom:64px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90152_c9d570-ba > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id90152_c9d570-ba > .kt-row-column-wrap{padding-right:32px;padding-left:32px;grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id90152_c9d570-ba > .kt-row-column-wrap{padding-top:40px;padding-right:20px;padding-bottom:40px;padding-left:20px;grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90152_c9d570-ba alignfull wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-1-columns kt-row-layout-equal kt-tab-layout-inherit kt-mobile-layout-row kt-row-valign-top kb-theme-content-width\">\n<style>.kadence-column90152_9d5254-42 > .kt-inside-inner-col{display:flex;}.kadence-column90152_9d5254-42 > .kt-inside-inner-col,.kadence-column90152_9d5254-42 > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column90152_9d5254-42 > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90152_9d5254-42 > .kt-inside-inner-col{flex-direction:column;align-items:flex-start;}.kadence-column90152_9d5254-42 > .kt-inside-inner-col > .kb-image-is-ratio-size{align-self:stretch;}.kadence-column90152_9d5254-42 > .kt-inside-inner-col > .wp-block-kadence-advancedgallery{align-self:stretch;}.kadence-column90152_9d5254-42 > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90152_9d5254-42 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90152_9d5254-42{position:relative;}@media all and (max-width: 1024px){.kadence-column90152_9d5254-42 > .kt-inside-inner-col{flex-direction:column;justify-content:center;align-items:flex-start;}}@media all and (max-width: 767px){.kadence-column90152_9d5254-42 > .kt-inside-inner-col{flex-direction:column;justify-content:center;align-items:flex-start;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90152_9d5254-42\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading90152_204cee-74, .wp-block-kadence-advancedheading.kt-adv-heading90152_204cee-74[data-kb-block=\"kb-adv-heading90152_204cee-74\"]{margin-bottom:50px;font-size:3rem;font-weight:bold;font-style:normal;}.wp-block-kadence-advancedheading.kt-adv-heading90152_204cee-74 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90152_204cee-74[data-kb-block=\"kb-adv-heading90152_204cee-74\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90152_204cee-74 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90152_204cee-74[data-kb-block=\"kb-adv-heading90152_204cee-74\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<h2 class=\"kt-adv-heading90152_204cee-74 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90152_204cee-74\">Senior Contacts<\/h2>\n\n\n<div style=\"padding-top:var(--wp--preset--spacing--10);padding-bottom:var(--wp--preset--spacing--20);\" class=\"wp-block-mgw-people-content-selector\" data-layout=\"featured-grid\"><div class=\"wp-block-mgw-people-content-selector__grid grid-posts grid-posts__2\">\n<article class=\"wp-block-mgw-people-card grid-card c-card c-card-people post-1078 people type-people status-publish hentry practice_tax-wealth-management-compliance-enforcement practice_tax-trading-markets-compliance-enforcement practice_tax-investment-advisory-compliance-regulatory-counseling practice_tax-broker-dealer-compliance-regulatory-counseling practice_tax-private-equity-transactions practice_tax-securities-enforcement\">\n\n\t\t\t<div class=\"c-card-people__profile-img\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/a\/john-v-ayanian\/\" aria-label=\"John V. Ayanian\" tabindex=\"-1\">\n\t\t\t\t<img loading=\"lazy\" decoding=\"async\" width=\"300\" height=\"300\" src=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12-300x300.jpg\" class=\"attachment-medium size-medium\" alt=\"\" srcset=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12-300x300.jpg 300w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12-150x150.jpg 150w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12-500x500.jpg 500w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12.jpg 600w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>\t\t\t<\/a>\n\t\t<\/div>\n\t\n\t<div class=\"c-card-people__content exc-org\">\n\t\t<h3 class=\"c-card__title\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/a\/john-v-ayanian\/\">\n\t\t\t\tJohn V. Ayanian\t\t\t<\/a>\n\t\t<\/h3>\n\n\t\t\t\t\t<p class=\"c-card-people__role\">\n\t\t\t\tPartner\t\t\t<\/p>\n\t\t\n\t\t\t<\/div>\n\n\t\n\t\t<div class=\"c-card-people__buttons\">\n\n\t\t\t\t\t\t\t<button type=\"button\" class=\"c-card-people__button js-people-email-button\" data-email=\"jayanian@mcguirewoods.com\" aria-label=\"Email John V. Ayanian\">\n\t\t\t\t\t<i class=\"icon icon-email\"><\/i>\n\t\t\t\t<\/button>\n\t\t\t\n\t\t\t<a href=\"?vcard=1078&amp;nonce=7d1c8d4a38\" class=\"c-card-people__button\" aria-label=\"Download John V. Ayanian vCard\">\n\t\t\t\t<i class=\"icon icon-card-profile\"><\/i>\n\t\t\t<\/a>\n\t\t<\/div>\n\n\t\n\t\n\t\t<div class=\"print-only\">\n\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"tel:+1-202-857-2428\" aria-label=\"Call John V. Ayanian\">\n\t\t\t\t\t\tT: +1 202 857 2428\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"mailto:jayanian@mcguirewoods.com\" aria-label=\"Email John V. Ayanian\">\n\t\t\t\t\t\tjayanian@mcguirewoods.com\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t<\/div>\n\n\t\n<\/article>\n\n<article class=\"wp-block-mgw-people-card grid-card c-card c-card-people post-1346 people type-people status-publish hentry practice_tax-financial-services-litigation practice_tax-securities-enforcement practice_tax-ponzi-scheme-litigation practice_tax-broker-dealer-compliance-regulatory-counseling practice_tax-investment-advisory-compliance-regulatory-counseling practice_tax-wealth-management-compliance-enforcement\">\n\n\t\t\t<div class=\"c-card-people__profile-img\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/h\/cheryl-l-haas\/\" aria-label=\"Cheryl L. Haas\" tabindex=\"-1\">\n\t\t\t\t<img loading=\"lazy\" decoding=\"async\" width=\"300\" height=\"300\" src=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/haas_cheryl-05fb912b-0d99-47ef-a1b7-2fbdcadc8be3-300x300.jpg\" class=\"attachment-medium size-medium\" alt=\"\" srcset=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/haas_cheryl-05fb912b-0d99-47ef-a1b7-2fbdcadc8be3-300x300.jpg 300w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/haas_cheryl-05fb912b-0d99-47ef-a1b7-2fbdcadc8be3-150x150.jpg 150w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/haas_cheryl-05fb912b-0d99-47ef-a1b7-2fbdcadc8be3-500x500.jpg 500w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/haas_cheryl-05fb912b-0d99-47ef-a1b7-2fbdcadc8be3.jpg 600w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>\t\t\t<\/a>\n\t\t<\/div>\n\t\n\t<div class=\"c-card-people__content exc-org\">\n\t\t<h3 class=\"c-card__title\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/h\/cheryl-l-haas\/\">\n\t\t\t\tCheryl L. Haas\t\t\t<\/a>\n\t\t<\/h3>\n\n\t\t\t\t\t<p class=\"c-card-people__role\">\n\t\t\t\tPartner\t\t\t<\/p>\n\t\t\n\t\t\t<\/div>\n\n\t\n\t\t<div class=\"c-card-people__buttons\">\n\n\t\t\t\t\t\t\t<button type=\"button\" class=\"c-card-people__button js-people-email-button\" data-email=\"chaas@mcguirewoods.com\" aria-label=\"Email Cheryl L. Haas\">\n\t\t\t\t\t<i class=\"icon icon-email\"><\/i>\n\t\t\t\t<\/button>\n\t\t\t\n\t\t\t<a href=\"?vcard=1346&amp;nonce=7d1c8d4a38\" class=\"c-card-people__button\" aria-label=\"Download Cheryl L. Haas vCard\">\n\t\t\t\t<i class=\"icon icon-card-profile\"><\/i>\n\t\t\t<\/a>\n\t\t<\/div>\n\n\t\n\t\n\t\t<div class=\"print-only\">\n\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"tel:+1-404-443-5726\" aria-label=\"Call Cheryl L. Haas\">\n\t\t\t\t\t\tT: +1 404 443 5726\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"mailto:chaas@mcguirewoods.com\" aria-label=\"Email Cheryl L. Haas\">\n\t\t\t\t\t\tchaas@mcguirewoods.com\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t<\/div>\n\n\t\n<\/article>\n<\/div><\/div>\n\n<style>.wp-block-kadence-advancedbtn.kt-btns90152_472a21-ed, .site .entry-content .wp-block-kadence-advancedbtn.kt-btns90152_472a21-ed, .wp-block-kadence-advancedbtn.kb-btns90152_472a21-ed, .site .entry-content .wp-block-kadence-advancedbtn.kb-btns90152_472a21-ed{margin-top:65px;}.wp-block-kadence-advancedbtn.kb-btns90152_472a21-ed{gap:var(--global-kb-gap-xs, 0.5rem );justify-content:center;align-items:center;}.kt-btns90152_472a21-ed .kt-button{font-weight:normal;font-style:normal;}.kt-btns90152_472a21-ed .kt-btn-wrap-0{margin-right:5px;}.wp-block-kadence-advancedbtn.kt-btns90152_472a21-ed .kt-btn-wrap-0 .kt-button{color:#555555;border-color:#555555;}.wp-block-kadence-advancedbtn.kt-btns90152_472a21-ed .kt-btn-wrap-0 .kt-button:hover, .wp-block-kadence-advancedbtn.kt-btns90152_472a21-ed .kt-btn-wrap-0 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Practices<\/span><\/a><\/li><\/ul><div class=\"kt-tabs-content-wrap\">\n<div class=\"wp-block-kadence-tab kt-tab-inner-content kt-inner-tab-1 kt-inner-tab90152_ea4d35-96\"><div class=\"kt-tab-inner-content-inner\"><style>.kb-row-layout-id90152_dc3700-68 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90152_dc3700-68 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90152_dc3700-68 > .kt-row-column-wrap{column-gap:27px;row-gap:var(--global-kb-gap-none, 0rem );padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90152_dc3700-68 > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id90152_dc3700-68 > .kt-row-column-wrap{row-gap:var(--global-kb-gap-none, 0rem );grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id90152_dc3700-68 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90152_dc3700-68 alignnone wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-1-columns kt-row-layout-equal kt-tab-layout-inherit kt-mobile-layout-row kt-row-valign-top\">\n<style>.kadence-column90152_c73520-8c > .kt-inside-inner-col{display:flex;}.kadence-column90152_c73520-8c > .kt-inside-inner-col,.kadence-column90152_c73520-8c > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column90152_c73520-8c > .kt-inside-inner-col{row-gap:var(--global-kb-gap-none, 0rem );column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90152_c73520-8c > .kt-inside-inner-col{flex-direction:column;align-items:flex-start;}.kadence-column90152_c73520-8c > .kt-inside-inner-col > .kb-image-is-ratio-size{align-self:stretch;}.kadence-column90152_c73520-8c > .kt-inside-inner-col > 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c-card-service__heading\">Securities Enforcement &amp; Regulatory Counseling<\/h5><\/a><\/article>\n<\/div><\/div>\n\n<\/div><\/div><\/div><\/div>\n<\/div><\/div><\/div>\n<\/div><\/div>\n\n<\/div><\/div>","protected":false},"excerpt":{"rendered":"<p>Investment Advisory Compliance &amp; Regulatory Counseling We advise securities industry clients on regulatory, business and compliance issues, offering proactive guidance and strategic, thoughtful responses to governmental scrutiny in equal measure&#8230;.<\/p>\n","protected":false},"author":4,"featured_media":0,"parent":166,"menu_order":0,"template":"","site_tax":[2],"class_list":["post-90152","practice","type-practice","status-publish","hentry"],"acf":[],"links_out":[],"links_in":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v26.9 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Investment Advisory Compliance &amp; Regulatory Counseling - McGuireWoods<\/title>\n<meta name=\"robots\" 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