Broker-Dealer Compliance + Regulation

We counsel broker-dealers, banks, investment firms, derivatives dealers, fund managers, and other financial services intermediaries on a full range of issues related to compliance, regulation, and enforcement by the U.S. Securities and Exchange Commission (SEC), state securities regulators, the Financial Industry Regulatory Authority (FINRA) and financial services regulatory authorities outside the United States such as the UK’s Financial Conduct Authority and Hong Kong’s Securities and Futures Commission.  We have an international team of experts who advise multinational financial institutions on cross-border regulatory issues and transactions.

We leverage the experience and knowledge of a multidisciplinary team of lawyers that includes several former senior officials of the SEC and other market regulators, and apply an industry-focused approach to advise our clients on regulatory compliance and enforcement issues applicable to the financial services industry, such as: