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Sub practice

Our team covers a broad waterfront of issues facing global and national financial institutions engaged in securities transactions within the United States, including foreign and domestic banks, insurance companies, investment advisers and private fund managers. Our clients range from financial institutions specializing in investment banking to market leading clearing firms and prime brokers.

We have extensive experience counseling foreign and domestic financial institutions on issues related to their status as brokers and dealers and helping financial institutions to register with the SEC and to become members of Self Regulatory Organizations (SRO) such as the Financial Industry Regulatory Authority (FINRA). We also assist broker-dealers in developing and revising written compliance policies and supervisory procedures and conduct reviews of their supervisory systems.

We counsel U.S. and international financial institutions, investment advisers and broker-dealers on issues related to compliance with the SEC’s financial responsibility rules, including the Net Capital and Customer Protection Rules, recordkeeping requirements, and financial reporting rules. We also advise with respect to sales practice regulations including suitability, point-of-sale disclosures, gifts and entertainment practices, and compensation structures for representatives.

News & insights

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Publications: 11 JUNE 2021

The Financial Services Act 2021

The first step in shaping the UK's financial services regime post-Brexit.

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Blog Post: 08 JUNE 2021

Australian corporate regulator acts decisively to disrupt misconduct

ASIC’s recent Enforcement Update demonstrates that it is in a strong position to identify and disrupt misconduct across the Australian financial sector through aggressive enforcement action.

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Publications: 07 JUNE 2021

The Financial Conduct Authority’s new “Consumer Duty”

On 14 May 2021 the FCA published its first Consultation Paper on “A new Consumer Duty” (CP21/13).

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Publications: 07 JUNE 2021

In Credit Podcast: The Financial Conduct Authority’s proposed new “Customer Duty”

In this episode of In Credit, A&O’s consumer finance team Joanne Owens, Victoria Ferres, Sophie Skeet and Mercy Hadfield discuss the Financial Conduct Authority’s recent proposal to introduce a…

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Recognition 

Investigations Insight

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Focusing on the latest trends, risks and developments in business crime and financial services investigations