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Investment Management Regulatory

Our global investment management team counsels most of the largest financial institutions on all key issues affecting them, with a particular focus on how they do business and are regulated and how this affects their day-to-day dealings with clients and the financial markets. As part of our work, we advise clients on key regulatory issues, innovation, and development of new products and services and on litigation and enforcement trends. In tandem with our litigation practice, we counsel and represent financial institutions in enforcement defense matters involving the principal US financial regulators, including the US Securities and Exchange Commission (SEC), the Office of the Comptroller of the Currency (OCC), the Consumer Financial Protection Bureau, the Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), the National Futures Association (NFA), and other regulatory entities.

Our clients include banks, broker-dealers, investment advisers, financial markets, commodity trading advisors, and commodity pool operators, as well as the principal industry associations for these types of financial institutions, such as the Securities Industry & Financial Markets Association, the Investment Company Institute, the Money Management Institute, the Futures Industry Association, the Managed Futures Association, and the Bank Insurance & Securities Association.

The interdisciplinary approach we take to counselling clients combines the knowledge of lawyers familiar with the federal securities laws, the Employee Retirement Income Security Act, the Internal Revenue Code, commodities regulation, federal and state banking and insurance laws, state securities laws, and non-US securities laws.

Our experience enables us to collaborate with our clients to develop sophisticated and pragmatic solutions to the marketplace and regulatory issues that they confront. We are also able to draw on the experience of our lawyers’ past positions with the assorted regulatory agencies, including the SEC, OCC, CFTC, Chicago Mercantile Exchange, FINRA, and NFA.