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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: 01 MARCH 2021

In Credit Podcast: Horizon Scanning

In this episode of In Credit, A&O’s consumer finance team Joanne Owens, Victoria Ferres and Sophie Skeet discuss regulatory updates on the horizon for 2021.

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Regulatory Monitoring

Publications: 01 MARCH 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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Publications: 25 FEBRUARY 2021

A new perspective on the FCA's focus on market abuse

Sarah Hitchins considers the FCA's commentary on market abuse risks in the light of the Covid-19 pandemic, as well as recent enforcement activity in this area.

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Publications: 24 FEBRUARY 2021

Key Regulatory Topics: Weekly Update 12 – 18 February 2021

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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Recognition 

Investigations Insight

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