Regulatory and Compliance

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:

  • Centers for Medicare and Medicaid Services
  • Consumer Financial Protection Bureau
  • U.S. Drug Enforcement Administration
  • Federal Communications Commission
  • Federal Deposit Insurance Corporation
  • Federal Reserve Board
  • Federal Trade Commission
  • Financial Industry Self-Regulatory Authority
  • Internal Revenue Service
  • National Credit Union Administration
  • Office of the Comptroller of the Currency
  • U.S. Patent and Trademark Office
  • U.S. Securities and Exchange Commission
  • U.S. Food and Drug Administration
  • U.S. Department of Health and Human Services
  • State Attorneys General
  • State Banking Authorities
  • State Cannabis Regulatory Agencies
  • State Departments of Labor
  • State Departments of Revenue
  • State Insurance Regulatory Agencies
  • State Licensing Boards
  • State Securities Regulators

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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Contact our Regulatory and Compliance Group.

Please contact us to let us know how DarrowEverett can serve you.

DE Insights

Our team wants you to stay informed about legal and regulatory developments that impact your business.

Fifth Circuit Puts the Brakes on SEC’s Private Fund Rules: What’s Next For Private Fund Advisers

In a continuation of recent court decisions overturning the rule-making authority of federal agencies, a recent decision by the U.S. Court of Appeals for the Fifth Circuit vacated the Securities and Exchange Commission’s (SEC) Private Fund Adviser Rules (the “Rules”), which had been adopted in August 2023. The Rules were aimed at increasing regulatory requirements…
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Terminating Employees? Ignoring State And Local Wage Laws Can Cost You

Terminating employees can be a daunting task. Failing to follow your state or local rules when terminating an employee can make the task exponentially more difficult and expensive. When a business plans on firing or laying off an employee (known as “involuntary termination”) it is imperative business owners consult state and local laws prior to…
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IRS Targeting Partnership Basis-Shifting Transaction Schemes

The Internal Revenue Service (“IRS,” or the “Service”) issued guidance on June 17, proposing new regulations and releasing a revenue ruling to challenge the use of basis-shifting transactions by complex partnerships. In making its announcement, IRS officials stated that closing this loophole could result in over $50 billion in new tax revenue for the U.S.…
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