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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: 14 SEPTEMBER 2021

Why more private capital fund managers are domiciling in Asia

Pragmatic fund structures and attractive tax and setup incentives are convincing an increasing number of private capital fund managers to domicile in Hong Kong and Singapore.

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Key regulatory topics

Publications: 09 SEPTEMBER 2021

Key Regulatory Topics: Weekly Update 3 – 9 September 2021

Of particular note this week, the FCA and PRA have published a joint Dear CEO letter sent to firms that carry out trade finance activity to reiterate their regulatory expectations of such firms, and…

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Key regulatory topics

Publications: 02 SEPTEMBER 2021

Key Regulatory Topics: Weekly Update 26 Aug - 2 Sept 2021

Of particular note in another relatively quiet week, UK Finance announced that the contactless limit would rise from £45 to £100 from 15 October, the FCA published a statement on potential financial…

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Regulatory Monitoring

Publications: 01 SEPTEMBER 2021

Regulatory Monitoring - relevant developments regarding German and European regulatory law

Our monthly regulatory newsletter monitors all relevant developments regarding German and European regulatory law in English language.

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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