Financial Services Regulation: Broker Dealer (Compliance & Enforcement)

Our financial services regulatory practice

• A "Global-U.S." financial services practice. Allen & Overy's inherent strength is our ability to advise on cross-border matters. Our FSR practice is based in New York and Washington, D.C. and is supported by U.S.-qualified lawyers in Europe and Asia. FSR issues across the world’s principal financial markets. This allows us to offer a distinctive international U.S. regulatory practice that is unmatched by our competitors.
  
  
• Full service offering. Our FSR team offers advice on a broad range of regulatory topics including: general banking compliance; broker dealer regulation; investment adviser regulation; investment company/fund regulation and 1940 Act status issues; securities regulation; banking enforcement and investigations; M&A; and on the intersection of political law and financial regulatory issues, many of which are at the heart of the financial markets, including at various levels of Dodd-Frank reform. 
• Access to and experience with regulators. Our attorneys are involved in almost every regulatory initiative and debate concerning regulatory change, globally. In the U.S., our team has deeply entrenched relationships and first-hand experience dealing with U.S. regulatory agencies.
  
  
• The global perspective. One of the key ways in which we differentiate from other U.S. regulatory practices is our ability to bring a global perspective to issues through the strength of our global regulatory network.