Broker-Dealer/Securities Firm Regulation
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.
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News and insights
News: 27 March 2024
Allen & Overy advises SBI Group on its investment in Solaris
Allen & Overy has advised SBI Group, a leading Japanese financial services conglomerate, on its investment in Solaris SE, a CRR credit institution and Europe’s pioneer of embedded finance, as part of…
News: 27 March 2024
Allen & Overy has advised Orano, a recognized international group in the nuclear materials sector, on the launch, in collaboration with Supernova Invest, of the Orano Venture Fund, an investment fund…
Publications: 25 March 2024
Polish Crypto-Assets Act: a move towards tightening the market
Last month the Polish government published a draft act on crypto-assets (the Draft Act) that aims to align the national legal framework with the EU regulation on crypto-assets. The Draft Act…
Publications: 10 January 2024
Wealth management by "family offices" in Poland and the licensing requirements
In recent years, there has been an increased interest in Poland in the services of so-called "family offices", ie private wealth management.
Recognition
Utilizes an international platform to assist both US clients with foreign broker-dealer issues and foreign clients with broker-dealer work in the USA. Acts for a variety of financial institutions on the full range of broker-dealer and securities compliance and regulation.
Chambers USA, 2014