Charles A. Christofilis, Attorney at Law

Providing practical guidance in compliance, legal operations, corporate governance, and regulatory representation.

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How We Help Financial Innovators Move Forward

Charles A. Christofilis, Attorney at Law offers focused regulatory and compliance support for financial services firms. Services are provided on a practical, business-minded basis.

Services
Legal Operations and Corporate Governance
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Legal Operations and Corporate Governance

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

Startup Investment Advisers and Hedge Funds
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Startup Investment Advisers and Hedge Funds

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

Broker-Dealer Compliance
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Broker-Dealer Compliance

Ongoing compliance guidance and regulatory support for broker-dealers.

Continuing Membership Applications
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Continuing Membership Applications

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

New Membership Applications with FINRA
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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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FinTech Regulatory Compliance

Charles A. Christofilis, Attorney at Law provides regulatory and compliance support to broker-dealers, investment advisers, hedge funds, and financial services startups. The firm focuses on helping clients navigate regulatory requirements, manage legal operations, and maintain effective governance frameworks.

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Meet Charles A. Christofilis

Charles A. Christofilis provides regulatory and compliance support to financial services firms, with a focus on broker-dealer regulation, FINRA matters, legal operations, and corporate governance.

He works closely with clients to deliver practical guidance while helping firms meet complex regulatory obligations.

Learn more about Chuck’s background and regulatory experience, or schedule a conversation to discuss your firm’s compliance needs.

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Let’s Keep In Touch

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Let’s Keep In Touch *

Timing matters in compliance.
Start the conversation early.

Contact Information

Email: charles@christofilis.law

Phone: (347) 638-4056

Office Address: Charles A. Christofilis, Attorney at Law

43 West 43rd Street, Suite 405

New York, NY 10036-7424

Regulatory delays and compliance missteps can slow firms down. Reach out to discuss your situation and explore how timely guidance can help you stay on track.