Broker-Dealer Advisory & Counseling

Our attorneys have a deep understanding of the complex and constantly changing regulatory environment in which financial institutions operate. We advise both global and regional broker-dealers on all aspects of regulatory compliance. Our professionals serve a variety of needs, including trading, sales, and research advice; internal reviews and investigations; assisting with regulatory examinations; policies and procedures; and education and training. We have the depth of knowledge and experience needed to effectively counsel clients on all regulatory matters that impact their businesses in this fluid and often turbulent environment.

Looking Forward

In 2020, securities regulators likely will focus on issues relating to new digital currency products, interpretive advice on new Regulation BI, cybersecurity compliance, implementation of the amendments to Rule ATS, financial responsibility compliance, new uses of blockchain and artificial intelligence technologies in trading and trade processing, conflicts of interest and best execution, and decisions on trading rule pilots. The SEC and FINRA likely will increase focus on cybersecurity policies and procedures as well as continue to investigate compliance with anti-money laundering regulations.