Experienced Business Law And Dispute Resolution Representation

Trusted Advice Regarding Regulatory Compliance

No matter the industry in which your business operates, most likely you must deal with government regulations and compliance issues. Successful navigation of these regulations can prove challenging, and many businesses run into problems at some point. When that happens, you need a trusted legal adviser you can turn to for assistance.

I am Richard A. Kaplan, Esq. of Counsel at Anderson & Karrenberg, and I have been helping companies of every size and industry overcome their business and legal hurdles. In addition to my legal background, I have an MBA from Harvard Business School and experience as both a business owner and an employee at a Fortune 500 company. I rely on my business background to give me insight into my clients’ needs and goals.

Interactions With Oversight Boards

Licensing and regulatory requirements seem to change constantly. Keeping up with regulations and the demands of oversight boards can quickly become overwhelming. Allow me to take on the burden of responding to requests from the licensing authorities so you can focus on your business. I am an experienced business litigator, and I have dealt with a wide range of industry regulators, including, but not limited to:

  • Securities and Exchange Commission (SEC)
  • Financial Industry Regulatory Authority (FINRA)
  • Public Company Accounting Oversight Board
  • Oil and gas regulators

No matter the industry, I am ready to help you resolve your regulatory matter or licensing issue.

Responding To Compliance Complaints

When you receive a complaint that you have somehow failed to comply with a regulation, do not simply ignore it. Addressing the issues early not only allows you to prevent a potential problem from growing, but it also gives you an opportunity to strengthen your compliance systems.

I am adept at resolving compliance issues in a manner that helps you manage your risk and strategize for the future. I combine a strong command of the law with decades of experience. My focus is your business. I often work with business owners, operators, decision-makers or even in-house counsel to resolve compliance and rule violation allegations quickly and efficiently.

Schedule An Appointment Today

If you have questions about regulatory compliance or licensing, contact me for a free initial consultation. Call my Salt Lake City office at 801-877-4991 or send an email.