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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

Key regulatory topics

Publications: 02 JULY 2020

Key Regulatory Topics: Weekly update 19 – 25 June 2020

Our weekly update on key regulatory topics affecting the financial services sector. If you would like to receive this update by email and be added to our marketing mailing list please contact…

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Key regulatory topics

Publications: 19 JUNE 2020

Key Regulatory Topics: Weekly update 12 – 18 June 2020

Our weekly update on key regulatory topics affecting the financial services sector. If you would like to receive this update by email and be added to our marketing mailing list please contact…

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Publications: 12 JUNE 2020

Key Regulatory Topics: Weekly update 5 - 11 June 2020

Our weekly update on key regulatory topics affecting the financial services sector. If you would like to receive this update by email and be added to our marketing mailing list please contact…

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Publications: 04 JUNE 2020

Podcast : The new Luxembourg bill on professional payment guarantee

On 22 April 2020, the Luxembourg government introduced a draft of a law aiming to establish a new regime for personal guarantees in a professional context.

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Recognition 

Implementing the Senior Managers and Certification regime

Illustration showing a microscope and orange in colour

Our Senior Managers and Certification Regime (SMCR) Working Group has been closely following the development and implementation of the SMCR since the FCA and the PRA first published their proposals in July 2014

Investigations Insight

Blue image with several hanging lightbulbs - all unlit except for one in the middle.

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