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What We Offer

Christofilis Law offers focused regulatory and compliance services for financial services firms at various stages of growth. Services are designed to support firms navigating regulatory approval, ongoing compliance obligations, and internal governance matters

What Sets Us Apart

Christofilis Law focuses on regulatory and compliance matters that require precision, timing, and a deep understanding of regulatory expectations. The firm’s work is informed by hands-on experience with FINRA processes, broker-dealer regulation, and compliance operations.

Practical, Business-Minded Guidance

Regulatory compliance is not just about rules, it is about making informed decisions that support business objectives. Guidance is practical, direct, and tailored to each client’s structure and goals.

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Proactive Approach to Risk

Addressing regulatory issues early can preserve options and prevent unnecessary delays. Christofilis Law emphasizes proactive planning and early engagement to help clients avoid costly missteps.

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Direct Access and Focused Support

Clients work directly with Chuck, ensuring clear communication, continuity, and accountability throughout each engagement. There are no layers, handoffs, or unnecessary complexity.

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Built for Long-Term Regulatory Confidence

Rather than short-term fixes, the focus is on building compliance and governance frameworks that support sustainable growth and long-term regulatory readiness.

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Regulatory decisions carry long-term consequences.

Start the conversation early.

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Services

Services

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Legal Operations and Corporate Governance

Guidance on internal legal operations, governance structures, and regulatory readiness.

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Startup Investment Advisers and Hedge Funds

Regulatory and compliance support for newly formed investment advisers and hedge funds.

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Broker-Dealer Compliance

Ongoing compliance guidance and regulatory support for broker-dealers.

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Continuing Membership Applications

Assistance with Continuing Membership Applications and material business changes requiring FINRA approval.

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New Membership Applications with FINRA

Support with preparing and submitting New Membership Applications, including regulatory coordination and documentation.

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Frequently Asked Questions

  • I offer outsourced CLO services on a simple monthly subscription:

    • $4,400/month: Up to 8 hours (roughly 2 hours/week), perfect for ongoing guidance.

    • $8,000/month: Up to 16 hours (roughly 4 hours/week), for more intensive support during application process, launches or exams.

    Billed in arrears & payable by the 10th of the following month; cancellable anytime.

    • Regulatory strategies: FINRA/SEC filings, exam prep, AML development (SARs, KYC, transaction monitoring).

    • Compliance automation: AI-driven workflows for monitoring, case management, and cybersecurity.

    • Corporate legal: Entity setup, contracts, governance, IP protection, venture financing.

    • Litigation/risk management: Defense against subpoenas, investigations, and disputes.

    • Fractional CCO/FinOp: Behind-the-scenes leadership on retainer.

    Excess hours or complex projects (e.g., mock exams) billed at $550 / hour with advance notice.

    1. Initial Consultation: Free 30-60 minute Zoom call to assess fit. Try 1-2 hours before subscribing.

    2. Onboarding: Weekly cadence to start (switch to bi-weekly/monthly as needed). Schedule via calendaring app with 72 hours' notice. Emergencies? Call anytime, I'll respond promptly.

    3. Collaboration: Regular meetings via Zoom/phone. In-person in NYC annually if possible. Focus on progress: launches, compliance, and revenue.

    4. Termination: Month-to-month; pay only for time used. Disputes resolved via NYCLA Fee Dispute Program.

Ready to launch?

Contact me for your consultation. Let's build something real.