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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: 21 January 2022

Key Regulatory Topics: Weekly Update 23 December 2021 – 6 January 2022

In this period we bid farewell to 2021 and 24 LIBOR settings and welcomed 2022 and the application of a range of new prudential measures in the UK. It was, however, a relatively quiet period for the…

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Bitcoin list on computer screen

Publications: 20 January 2022

Payments and FinTech News - Deal struck on EU’s DLT pilot regime

The digitalisation of financial services is progressing at a rapid pace. The payment services sector and alternative business models (often referred to as "FinTech") are particularly affected. The…

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Regulatory Monitoring

Publications: 03 January 2022

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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Key regulatory topics

Publications: 22 December 2021

Key Regulatory Topics: Weekly Update 16 – 22 December 2021

In a week that that has led to one of the longest weekly updates ever, it is fair to say that 2021 has ended with a “bang” in terms of publications. We wish you all a restful and healthy festive…

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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