From federal and state compliance to SRO regulation, investment advisor and broker dealer clients have a host of legal needs. At Dorsey we surround these needs with an integrated team of attorneys. We represent a diverse clientele, both foreign and domestic, who conduct business in the U.S. or with U.S. clients in the securities market.
Dorsey offers the following in the broker dealer/investment advisor area:
- Organizing and licensing for broker-dealers and investment advisors.
- Establishing networking arrangements between broker-dealers and financial institutions.
- Bank-affiliated broker-dealers.
- Designing supervisory and compliance policies and procedures.
- Resolving investigations and enforcement actions brought by regulatory authorities.
- Conduct independent audits to assist clients in preparing for regulatory examinations.
- Acting as independent consultant on behalf of self-regulatory organizations to review and recommend changes in compliance policies and procedures.
- Providing counsel to foreign financial intermediaries regarding cross-border regulatory compliance matters.