Regulatory Compliance Advisory & Program Management

Comprehensive Compliance Program Services

Katten provides outsourced compliance advisory and managed regulatory programs for Web3 businesses, fintech companies, and financial services firms navigating complex regulatory requirements. With team members who are former regulators from SEC, FINRA, CFTC, and DOJ, the firm brings deep regulatory insight to compliance program design and implementation.

Privacy & Data Protection Compliance

Privacy Program Development: Comprehensive privacy and security-related program development, policy documentation and implementation, and regulatory compliance navigation for technology and fintech sectors. The firm helps clients build robust privacy frameworks that meet evolving regulatory standards.

Data Protection Frameworks: GDPR compliance for European operations, CCPA/CPRA compliance for California and US operations, and international data protection framework navigation. Katten's attorneys guide clients through cross-border data transfer requirements and privacy-by-design principles.

Security & Incident Response: Security reviews and assessments, breach investigation and response services, incident planning and preparedness programs, and regulatory notification compliance. The firm provides practical guidance on cybersecurity risk management and incident response protocols.

Financial Services Compliance

Regulatory Compliance Advisory: Comprehensive legal guidance on distributed ledger technology (DLT) and cryptoassets regulatory requirements, securities and derivatives law compliance, money transmission regulations, and commercial transaction compliance. The practice emphasizes development of novel approaches to emerging DLT compliance issues.

Broker-Dealer Compliance Programs: Regulatory compliance and advisory for broker-dealers in the cryptoassets space, SEC and FINRA compliance program development, ongoing compliance advisory services, and regulatory examination support. The firm helps digital asset intermediaries build and maintain compliant operations.

Development of Novel Approaches

The firm emphasizes translating complex blockchain innovations for both clients and regulators, helping businesses navigate "uncharted legal territory" while maintaining regulatory compliance. The practice serves exchanges, clearing organizations, brokers, traders, investment funds, technology companies, and fintech companies across all stages of regulatory maturity.

Katten's compliance-as-a-service approach combines strategic regulatory advisory with practical program implementation, enabling clients to focus on business growth while maintaining robust compliance frameworks.