Compliance & Investigations

When a government attorney calls to seek information about your business, it can be intimidating, and should be taken seriously. The ability to have counsel capable in this type of investigative work is essential in our current regulatory environment where there is an ever-growing responsibility for business owners to monitor their own activities for misconduct, and an expectation of a proactive regulatory response to any discovery of misconduct.

Daisy & Collins represents business entities and individuals in connection with investigations conducted by governmental regulatory agencies and self-regulatory organizations. We work closely with you to learn your business so we can offer practical advice from legal, financial and operating perspectives based on our business and government experience, to help guide you through challenging circumstances and avoid costly civil or criminal enforcement actions.

We regularly represent companies and individuals, including broker-dealers, investment advisors and self-regulatory organizations connected with investigations conducted by other agencies, and our attorneys have a depth of experience working with government agencies including the Department of Labor, Department of Justice, Department of State, Federal Trade Commission and the Equal Employment Opportunity Commission.

Services include:

Compliance Audits

  • Anti-money Laundering (AML) Procedures

Internal Investigations

  • Internal Investigations
  • Counseling for Self-Reporting


  • Enforcement Investigations: SEC, CFTC
  • SRO Investigations
  • DOJ/U.S. Attorney Investigations
  • Other Regulatory Investigations
  • Representation for Corporations, Business Entities, Individuals, Boards of Directors, Board Committees

Special Projects

  • Contract Counterparty Audits
  • Most Favored Nation Provision Audits

For assistance with your compliance or investigation legal needs, contact Dean Daisy.