Companies, funds, and issuers of all kinds must be attentive to ever-changing government regulations, complying quickly and appropriately to correct oversights. We understand these complicated environments and will work with you to identify and alleviate the risks of potential enforcement actions, intercepting compliance problems whenever possible.

Mangum & Associates has a considerable breadth of SEC regulatory and compliance experience, ranging across every one of our services and disciplines. This includes representing a variety of domestic and international clients such as hedge funds, start-up companies, private equity funds, FINRA broker/dealers, venture capitalists, individual entrepreneurs, and more on almost any aspect of a financial transaction.

Our regulatory and compliance attorneys will counsel you on day-to-day operations to ensure you are always in accordance with ever-changing federal and state securities laws and regulations.