Navigating Complex Regulations to Ensure Compliance and Mitigate Risk
Legislation, regulations, enforcement actions, and industry guidelines, at both the federal and state level, can significantly impact both a company’s business operations in the present and its strategic planning for the future. Companies must comply with all of these laws and standards, many of which seemingly conflict simultaneously.
DarrowEverett’s Regulatory and Compliance team advises our clients on the appropriate course of action when navigating challenging government regulations and/or agency actions. We regularly represent our clients before agencies that regulate industries such as cannabis cultivation and distribution, environment, financial services, healthcare, investment management, licensing, pharmaceuticals and nutraceuticals, public utilities, renewable and non-renewable energy, telemarketing and sales, and wireless communications.
The DE Regulatory and Compliance Team provides representation before many government authorities, including:
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Practice Leaders
Kevin P. Gildea - Of Counsel
Overview
Kevin P. Gildea is a member of DarrowEverett’s Corporate & Business Transactions, Healthcare & Life Sciences, Regulatory & Compliance and Data Privacy & Cybersecurity Groups. He has a practice concentrated in the areas of corporate, banking, healthcare and life sciences, renewable energy, nonprofit, and financial services regulation, compliance, litigation and enforcement defense, and transaction and merger-acquisition related structuring, domestically and internationally. He has experience defending companies in civil and criminal government investigations and enforcement actions,...
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Tel: (212) 335-2090
Beth N. Lowson - Of Counsel
Overview
Beth N. Lowson is Of Counsel and a Practice Leader for DarrowEverett’s Regulatory & Compliance, and Private Equity, Capital Markets & Securities Practice Groups, focusing primarily on corporate and securities law. Beth’s clients are in the investment management and financial services sectors and include publicly traded and private companies, hedge funds and other private funds, SEC and state-registered investment advisors, broker-dealers, and private investors. Beth regularly advises clients concerning SEC reporting and compliance, corporate formation...
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Tel: (212) 335-2090
DE Insights
Our team wants you to stay informed about legal and regulatory developments that impact your business.
Client Insight
Private Placements in South Carolina: A Primer on Federal and State Securities Registration
With an estimated 34 people moving to the Charleston area each day[1] and with South Carolina claiming one of the fastest-growing populations in the nation last year[2], the post-COVID increase in the number of private placement sponsors raising money in the Palmetto State and increase in the number of private placements being offered to South…
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Blacklisted Condos: A Growing Crisis for Owners and Buyers
The blacklisting of condominium/condo associations by financial institutions and insurance providers has emerged as a pressing issue in the real estate finance and housing sector. This practice, which involves lenders or insurers refusing to provide services to specific condominium associations, has significant implications for property values, homeowner affordability, and overall market stability. The practice raises…
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Unlocking Tax-Free Gains: The Power of QSBS in Mergers & Acquisitions
Internal Revenue Code (IRC) Section 1202 offers a significant tax incentive for investors in qualified small business stock (QSBS). This provision allows eligible shareholders to exclude up to 100% of capital gains realized from the sale of QSBS, subject to certain limitations. This exclusion can result in substantial tax savings, making it highly attractive to…
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