Mark Shaffer
Partner at Royer Cooper Cohen Braunfeld LLC
- Role
- Partner at Royer Cooper Cohen Braunfeld Llc Rccb
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Mark Shaffer
I am an attorney with over 20 years-experience advising U.S. and foreign financial…
Experience
Partner
Royer Cooper Cohen Braunfeld Llc Rccb
Jan 2024 — Present · New York, NY, US
I advise U.S. and foreign financial institutions, broker-dealers, investment advisers, cryptocurrency businesses and fintech companies on a broad range of regulatory and compliance matters relating SEC and FINRA rules and regulations, Federal Reserve and other banking regulations, and Bank Secrecy Act (BSA)/anti-money laundering (AML) laws and regulations. I frequently help clients understand how such laws and regulations apply to new technologies and innovative products.I also represent financial institutions and their employees, officers and directors in government and internal investigations and regulatory proceedings before federal and state authorities. Investigations and enforcement matters have included issues relating to alleged bribery and corruption, the sale of unregistered securities, currency and equities market manipulation, collusion, insider trading, money laundering, OFAC sanctions violations, false statements and accounting fraud.
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