Broker Dealer / Investment Adviser

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.